Compliance Manager - Growing Securities Firm in Hong Kong
CLIENT BACKGROUND
My client is a dynamic new trading platform in Hong Kong. With their SFC Type 1 license secured, they are on an ambitious journey to expand our regulatory footprint and revolutionize the trading experience in the region.
We are seeking a hands-on Compliance Manager to join our growing team. This is a Manager-In-Charge (MIC) role, reporting directly to the COO and leading one junior team member. You will play a key role in shaping our compliance framework as we scale and pursue additional SFC licenses.
Key Responsibilities
- Act as MIC for compliance under SFC guidelines
- Oversee daily compliance operations and regulatory reporting
- Provide compliance advisory to business units
- Liaise with SFC and other regulatory bodies
- Develop and implement compliance policies and procedures
- Support license variation and new license applications
- Mentor and manage a junior compliance officer
Requirements
- 5-10 years of compliance experience in licensed securities firms
- Strong knowledge of SFC regulations and compliance best practices
- Fluent in Cantonese and proficient in English (spoken and written)
- Proven track record of stability in previous roles
- Experience in a start-up or fast-paced environment is a plus
- MIC experience or readiness to take on MIC responsibilities
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