Description

Compliance Manager | SFC Type 4 & 9 Platform | Hong Kong

A growing alternative investment and wealth management platform is seeking an experienced Compliance Manager to join its Hong Kong office. This is a highly visible role offering broad exposure across regulatory compliance, AML/CFT, governance, and strategic business initiatives.

Working closely with senior management, you will play a key role in maintaining a robust compliance framework and ensuring adherence to evolving regulatory requirements.

Key Responsibilities

• Act as the primary liaison with the SFC and other regulatory authorities
• Oversee and enhance the firm's compliance framework, policies, procedures, and controls
• Lead compliance monitoring, reviews, audits, and investigations
• Provide regulatory and compliance advice to business stakeholders
• Support licensing matters, regulatory filings, and ongoing reporting obligations
• Manage AML/CFT compliance programs and related risk assessments
• Oversee employee dealing monitoring and compliance surveillance activities
• Deliver compliance training and promote a strong compliance culture
• Participate in business initiatives, regulatory change projects, and strategic developments
• Potential opportunity to hold MIC responsibilities

Requirements

• Bachelor's degree in Law, Finance, Business, or a related discipline
• Approximately 8+ years of compliance experience within SFC-regulated financial institutions
• Strong knowledge of SFC regulations, licensing requirements, and AML/CFT obligations
• Experience supporting Type 4 and Type 9 regulated activities
• Proven ability to engage with regulators and senior stakeholders
• Strong communication skills in English and Chinese
• Hands-on, commercial, and able to thrive in an entrepreneurial environment

Why Apply

• Opportunity to lead compliance for a growing platform
• Broad exposure across compliance, governance, and regulatory matters
• Direct interaction with senior leadership and business decision-makers
• Entrepreneurial environment with excellent visibility and career progression
• Competitive compensation package

For a confidential discussion, please reach out directly. Whatsapp: +852 9611 0173 or