Senior Compliance Manager, EAM Platform (Type 4 & 9)

Larson Maddox; Hong Kong; On-site; HKD 900,000 - 1,600,000; Full time

Job summary

Larson Maddox is seeking a Compliance Manager in Hong Kong to lead regulatory compliance, AML/CFT and governance for our SFC-regulated activities. You will work with senior management, relationship managers, and high-net-worth client advisory teams to ensure robust compliance across platforms.

The role requires 6–10+ years in asset or wealth management, strong SFC knowledge, and the ability to drive regulatory filings, inspections, and training. Fluency in English and Chinese preferred.

Qualifications

• Bachelor's degree in Law/Finance/Business required.
• 6–10+ years of compliance experience in asset or wealth management or SFC-regulated institutions.
• Strong knowledge of SFC regulations, AML/CFT and Type 4/9 licensing.
• Experience managing regulatory inspections, licensing matters, and monitoring programs.
• Excellent communication and stakeholder management; able to work independently in a lean team.
• Fluency in English and Chinese (Cantonese and/or Mandarin) preferred.

Responsibilities

• Act as primary contact for the SFC and manage regulatory communications.
• Oversee compliance framework for Type 4 and Type 9 activities.
• Provide compliance guidance to senior management and front-office.
• Manage licensing, filings, inspections and inquiries.
• Oversee AML/KYC controls and transaction monitoring.
• Conduct compliance monitoring and risk assessments.
• Review client onboarding, discretionary mandates, and marketing materials.
• Support new business initiatives from a regulatory perspective.
• Deliver compliance training and foster a compliant culture.
• Liaise with service providers, auditors, and legal counsel.

Skills

SFC regulations

AML/CFT

Regulatory communications

Stakeholder management

Governance framework

Training & culture

Financial crime controls

Education

Bachelor's degree in Law/Finance/Business

Tools

AML monitoring systems

Regulatory reporting tools

Job description

Larson Maddox is seeking a Compliance Manager in Hong Kong to lead regulatory compliance, AML/CFT and governance for our SFC-regulated activities. You will work with senior management, relationship managers, and high-net-worth client advisory teams to ensure robust compliance across platforms.

The role requires 6–10+ years in asset or wealth management, strong SFC knowledge, and the ability to drive regulatory filings, inspections, and training. Fluency in English and Chinese preferred.