Senior Compliance Manager/Compliance Manager

華盛証券 Valuable Capital Ltd.; Hong Kong; On-site; HKD 1,000,000 - 1,400,000; Full time

Job summary

華盛証券 Valuable Capital Ltd. in Hong Kong seeks an experienced Compliance Manager to provide prompt guidance on business and new financial products and to oversee regulatory compliance activities.

The role includes monitoring, regulatory inquiries, and FATCA/CRS compliance reviews, with collaboration across departments and external partners. Candidates should have 4–6 years in financial compliance, deep HK/US market knowledge, and fluency in English and Chinese.

Qualifications

• 4–6 years of compliance experience in a financial institution with exposure to Retail/ECM/DCM/FICC.
• Strong understanding of HK and US capital markets rules and products.
• Well-versed in SFC rules and regulations.
• Proficient in English and Chinese (Cantonese & Mandarin).

Responsibilities

• Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products.
• Perform compliance monitoring tasks.
• Handle inspections, investigations and inquiries from regulators.
• Advise on FATCA and CRS compliance and review relevant procedures.
• Coordinate inquiries from business departments regarding regulatory compliance requirements and provide advice.
• Influence and negotiate with seniors across functions; communicate with external consultants and lawyers.
• Establish proper controls, policies and business operation procedures to ensure compliance with legal and regulatory requirements.
• Develop ethical and efficient business reporting frameworks.
• Handle other compliance matters or assist projects as assigned by management.

Skills

Financial market knowledge

Regulatory compliance

Analytical skills

Team player

Problem solving

English & Chinese language skills

Education

Bachelor’s degree in law

Bachelor’s degree in Accountancy

Bachelor’s degree in Business

Job description

• Provide prompt, sound and consistent compliance advice, interpretation and recommendation on business and new financial products.
• Perform compliance monitoring tasks.
• Responsible for handling inspections, investigations and inquiries from regulators;
• Responsible for providing advice on FATCA and CRS compliance and review relevant procedures;
• Co-ordinate and handle enquires from business departments regarding regulatory compliance requirements and provide advice and recommendations.
• Influences and negotiates with seniors across functions and management; may communicate with external consultants and lawyers.
• Establish proper controls, policies and business operation procedures to ensure compliance with legal and regulatory requirements.
• Develop ethical and efficient business reporting frameworks.
• Handle other compliance matters or assist projects as assigned by management from time to time.

Job Requirements:

• Bachelor’s degree in law, Accountancy, Business or equivalent.
• At least 4-6 years of relevant experience in Compliance function of Financial Institution with exposure in Retail / ECM / DCM / FICC matters.
• Strong understanding of financial market knowledge on products, rules and regulations of capital markets for HK and US markets.
• Well-versed in relevant compliance rules and regulations issued by the SFC.
• Analytical, self-motivated, ability to work under pressure.
• Good Team Player and problem-solving skills.
• Good command of written and spoken English and Chinese (Cantonese & Mandarin).
• Candidate with more related work experience will be considered as Senior Compliance Manager.