Description

Key responsibilities:

• Manage end-to-end SFC licensing and regulatory filings, ensuring timely, accurate submissions and full compliance with statutory requirements
• Lead regulatory inquiries, compliance declarations, and incident reporting by coordinating with cross-functional teams and maintaining complete, audit-ready documentation
• Oversee the firm's compliance training framework, including annual training plans and Continuous Professional Training (CPT) monitoring to strengthen regulatory awareness
• Monitor control room operations through surveillance of communications, record-keeping, and enforcement of internal policies to detect and mitigate compliance risks
• Partner with Legal, Risk, and Front Office teams to assess emerging regulatory risks, implement preventive controls, and promote best practices in compliance and information governance

Candidate profile:

• Degree in Business, Finance, Law, or a related discipline, with 1-2 years' compliance experience in a regulator, securities firm, or financial institution; high-potential junior candidates are also encouraged to apply
• Working knowledge of the Securities and Futures Ordinance (SFO), Rules of the Exchange, SFC Code of Conduct, and Hong Kong regulatory compliance requirements
• Exposure to regulatory licensing, compliance reporting, and stakeholder engagement within a regulated financial services environment; experience liaising with local regulators is an advantage
• Proficiency in MS Word, Excel, and general IT applications, with strong analytical, documentation, communication, and interpersonal skills
• Fluent in English, Cantonese, and Mandarin, with the ability to collaborate effectively across teams and communicate confidently with internal and external stakeholders

About the company:

A leading financial services organisation with a strong presence in the securities industry is committed to maintaining the highest standards of governance, integrity, and regulatory excellence. It offers a collaborative and inclusive workplace with structured learning, career development opportunities, and the support to build a long-term career in an evolving regulatory landscape.

Keywords: compliance analyst, regulatory compliance, SFC compliance, securities compliance, financial services compliance

What's next:

Build your future in compliance while safeguarding the standards that power financial markets. Apply now!