SVP, Compliance ( SFC Licensed Firm - Institutional Business )

Osmium Consulting Group Limited; Hong Kong; On-site; HKD 1,800,000 - 3,000,000; Full time

Job summary

Osmium Consulting Group Limited in Hong Kong seeks an SVP, Compliance (SFC Licensed Firm - Institutional Business) to act as the key compliance subject matter expert for front-office institutional teams, providing real-time advice on SFC codes, regulations, and cross-border transactions.

You will manage relationships with regulatory bodies (SFC, HKEX), oversee licensing, inspections, and statutory reporting, and design up-to-date policies and control procedures.

Qualifications

• Bachelor's degree in Law, Accounting, Finance or related disciplines.
• Minimum 10+ years of compliance experience within SFC-licensed corporations, investment banks, or institutional securities firms in Hong Kong.
• Comprehensive understanding of the SFO, SFC Code of Conduct, AML/CTF guidelines, and HKEX Listing Rules.
• Hands-on experience with SFC routine inspections and regulatory investigations.

Responsibilities

• Act as the key compliance SME for front-office institutional teams (Institutional Sales & Trading, ECM/DCM, Corporate Access, Equity Research).
• Provide real-time advice on SFC codes, regulations, and cross-border transactions.
• Manage relationships with SFC, HKEX; handle regulatory inquiries, inspections, license applications, and reporting.
• Design and implement compliance policies, manuals, and internal controls aligned with evolving rules.
• Monitor institutional trading to detect market misconduct and ensure compliance with position limits.
• Oversee onboarding compliance, CIP/KYC reviews, and PEPs/Sanctions screening.
• Conduct specialized compliance training on regulatory updates, ethics, and anti-bribery standards.

Skills

SFC regulations

AML/CTF expertise

KYC/compliance reviews

PEPs screening

Regulatory reporting

Cross-border compliance

Education

Bachelor's degree in Law/Accounting/Finance

Job description

SVP, Compliance ( SFC Licensed Firm - Institutional Business )

Act as the key compliance subject matter expert for front-office institutional teams (Institutional Sales & Trading, ECM/DCM, Corporate Access, and Equity Research), providing real-time advice on SFC codes, regulations, and cross-border transactions.

Manage relationships and communications with regulatory bodies (SFC, HKEX), handling regulatory inquiries, routine inspections, license applications, and statutory reporting.

Design, implement, and update compliance policies, manuals, and internal control procedures to align with evolving SFC codes (e.g., Code of Conduct, Anti-Money Laundering Guidelines, Market Misconduct rules).

Monitor institutional trading activities to detect and prevent potential market misconduct, insider dealing, market manipulation, or breaches of position limits.

Oversee institutional client onboarding compliance, high-risk CIP/KYC reviews, politically exposed persons (PEPs) screening, and Sanctions/AML escalations.

Conduct specialized compliance training for institutional staff on regulatory updates, ethics, wall-crossing, and anti-bribery standards.

Requirements

Bachelor's degree in Law, Accounting, Finance, or related disciplines.

Minimum 10+ years of compliance experience within SFC-licensed corporations, investment banks, or institutional securities firms in Hong Kong.

Comprehensive understanding of the Securities and Futures Ordinance (SFO), SFC Code of Conduct, AML/CTF guidelines, and HKEX Listing Rules.

Solid hands-on experience handling SFC routine inspections and regulatory investigations.

Trilingual fluency in spoken and written English, Cantonese, and Putonghua is required.