Senior Compliance Officer

Morgan Philips Hong Kong Limited; Hong Kong Island; On-site; HKD 700,000 - 950,000; Full time

Job summary

Morgan Philips Hong Kong Limited is recruiting a Senior Compliance Officer for a leading financial institution in Hong Kong. You will support compliance monitoring, trade surveillance, regulatory change management, product governance and strategic initiatives.

Key responsibilities include conducting monitoring, testing and control reviews; performing trade surveillance and investigations; monitoring regulatory developments; reviewing new products and governance; supporting audits, inspections

Qualifications

• 2-5 years' experience in compliance, controls, surveillance, regulatory advisory, or product governance within a regulated financial services environment.
• Experience gained within banking, asset management, wealth management, family offices, brokerages, or Big Four firms is preferred.
• Strong understanding of Hong Kong regulatory requirements and compliance frameworks.
• Exposure to regulatory change, trade surveillance, product governance, or virtual assets would be advantageous.
• Strong analytical, communication, and stakeholder management skills.

Responsibilities

• Conduct compliance monitoring, testing, and control reviews to assess the effectiveness of regulatory controls.
• Perform trade surveillance and investigate potential market misconduct, including insider dealing and market manipulation.
• Monitor and assess regulatory developments, ensuring timely implementation of new requirements.
• Review and provide compliance oversight for new products, services, and business initiatives.
• Support policy governance, risk assessments, audits, regulatory inspections, and compliance projects.
• Advise stakeholders on regulatory obligations and deliver compliance training across the business.
• Support emerging initiatives relating to virtual assets, digital assets, and evolving regulatory requirements.

Skills

Analytical skills

Communication

Stakeholder management

Regulatory knowledge

Job description

A leading financial institution is seeking a Senior Compliance Officer to support compliance monitoring, trade surveillance, regulatory change management, product governance, and strategic business initiatives.

Key Responsibilities

Conduct compliance monitoring, testing, and control reviews to assess the effectiveness of regulatory controls.

Perform trade surveillance and investigate potential market misconduct, including insider dealing and market manipulation.

Monitor and assess regulatory developments, ensuring timely implementation of new requirements.

Review and provide compliance oversight for new products, services, and business initiatives.

Support policy governance, risk assessments, audits, regulatory inspections, and compliance projects.

Advise stakeholders on regulatory obligations and deliver compliance training across the business.

Support emerging initiatives relating to virtual assets, digital assets, and evolving regulatory requirements.

Requirements

2-5 years' experience in compliance, controls, surveillance, regulatory advisory, or product governance within a regulated financial services environment.

Experience gained within banking, asset management, wealth management, family offices, brokerages, or Big Four firms is preferred.

Strong understanding of Hong Kong regulatory requirements and compliance frameworks.

Exposure to regulatory change, trade surveillance, product governance, or virtual assets would be advantageous.

Strong analytical, communication, and stakeholder management skills.