94 Compliance Officer jobs in Hong Kong

2 days ago Be among the first 25 applicants

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Direct message the job poster from Ashford Benjamin

Ashford Benjamin is proud to partner with a global investment management firm in hiring a senior compliance professional for their Hong Kong office. This role offers broad exposure across all aspects of compliance, including regulatory advisory, marketing material reviews, licensing matters, liaison with regulators, and managing regulatory inquiries and examinations. While the primary focus is Hong Kong and Greater China, the role may also provide compliance support across other offices in Asia. The ideal candidate will have approximately 10 years of asset management compliance experience, covering both public and private markets. Strong knowledge of Credit is highly desirable. Excellent communication skills are essential, as the role involves regular interaction with global stakeholders. Fluency in Mandarin is preferred due to the market coverage.

For more information on this opportunity or for a general discussion on the compliance market, please reach out to

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal, Finance, and Business Development
• Industries Staffing and Recruiting, Legal Services, and Banking

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Wan Chai District, Hong Kong SAR 1 day ago

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Direct message the job poster from Avenir Group

Key Responsibilities:

• Conduct Compliance Monitoring and Surveillance reviews to evaluate the firm’s adherence to key regulatory requirements.

• Perform in-depth assessments of compliance risks and controls in alignment with the Compliance Testing Plan.

• Support the transaction approval process by reviewing transactions against established compliance criteria.

• Assist in addressing regulatory inquiries and preparing responses to regulatory bodies.

• Prepare and deliver compliance reports to management, maintaining incident logs and employee conduct breach records.

• Advise on data privacy, intellectual property, and tax considerations ensuring compliance and asset protection.

Requirements:

• Bachelor’s degree or higher in Law, Finance, Business, or a related discipline.

• 5+ years of compliance experience within Asset Management, Hedge Funds(HF), Venture Capital (VC) and Private Equity (PE) with a strong understanding of regulatory frameworks.

• In-depth knowledge of Hong Kong market regulations (SFC, HKMA) and investment management compliance.

• Excellent communication and interpersonal skills, with the ability to engage stakeholders at all levels.

• Fluent in English and Chinese (written and spoken).

• Prefer candidates who are familiar with financial regulations, and capable of handling license applications and compliance matters.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal

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Central & Western District, Hong Kong SAR 4 weeks ago

Central & Western District, Hong Kong SAR 1 week ago

Wan Chai District, Hong Kong SAR 6 days ago

Central & Western District, Hong Kong SAR 59 minutes ago

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• Monitor regulatory changes and update the policies and procedures
• Handle regulatory reporting and inquires with the relevant Exchanges and Regulators
• Handle research report clearance
• Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Handle on-going SFC reporting matters
• Handle staff dealing review and monitoring
• Maintain and update stock restricted list and watch lists
• Conduct in-house compliance training
• Assist in ad hoc projects as required

Requirements :

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 3-5 years of work experience in brokerage firms, financial institutions, big 4 audit firm or law firms experience is welcomed
• Robust and solid understanding of SFC Code of Conducts and relevant regulatory requirements
• Knowledge of securities and investment products and its operation
• Familiar with FATCA/QI/CRS requirements is an advantage
• Preferable to have project management experience on implementation of new rules, products or business
• Responsible, hardworking and well-organized
• A good team player with strong interpersonal and analytical skills as well as high degree of professional maturity
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus

• Seniority level Associate

• Employment type Full-time

• Job function Legal and Finance

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Wan Chai District, Hong Kong SAR 1 week ago

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Join to apply for the Associate Director (Risk Management & Compliance) – Market Risk role at Hong Kong Monetary Authority (HKMA)

2 days ago Be among the first 25 applicants

Join to apply for the Associate Director (Risk Management & Compliance) – Market Risk role at Hong Kong Monetary Authority (HKMA)

Key Responsibilities

• Develop and maintain sophisticated quantitative models for market risk assessment, including, but not limited to, Value-at-Risk, tracking error, stress testing, and scenario analysis across various asset classes, such as equities, fixed income, commodities, and alternatives
• Monitor portfolio exposures to ensure alignment with the Exchange Fund’s investment objectives and risk profile, including producing regular reports for senior management and investment committees
• Evaluate investment performance and conduct performance attribution analysis
• Assist in the team’s effort in further adopting new technologies (such as big data platforms and AI) in market risk management, such as in respect of enhancing data automation and processing, risk modelling, as well as report generation and presentation
• Assist in conducting research on financial markets and peer-group practices on risk management, performance measurement and asset allocation

Requirements

• University degree in risk management, finance, investment management, accountancy, economics or a related field
• At least three years of relevant experience in risk management, investment management, or financial data analysis
• Knowledge of risk management, automation and visualisation software, e.g. Python, R, UiPath and Tableau, as well as artificial intelligence and machine learning a definite advantage
• Strong general knowledge, versatility, attention to detail, and excellent logical and critical thinking skills
• Good interpersonal, communication, presentation and professional report-writing skills
• Ability to work independently and under pressure
• Willing to take up challenges and proactively identify and resolve issues
• Proficient in both written and spoken English and Chinese

Remuneration Package

A competitive remuneration package will be offered to the successful candidate, with flexibility to take into account of additional experience and qualifications. Fringe benefits include medical and dental benefits, paid annual leave and provident fund benefits.

Closing Date for Application: 19 July 2025.

Please visit our website at for more information about the position.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Accounting/Auditing, Finance, and Research
• Industries Government Relations Services

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Wan Chai District, Hong Kong SAR 1 week ago

Wan Chai District, Hong Kong SAR 1 week ago

Central & Western District, Hong Kong SAR 2 days ago

Central & Western District, Hong Kong SAR 12 hours ago

Central & Western District, Hong Kong SAR 2 weeks ago

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1. Review and assess credit facility & trading limits applications.

2. Monitor the credit risks of margin financing portfolios, ensure margin control actions & procedures are performed in a timely manner.

3. Review and enhance margin financing business Risk Management Policy & Guideline.

4. Participating in HQ’s and Department’s reports preparation.

5. Participating in market risk identification, measurement and monitoring.

6. Carrying out other tasks assigned by management.

Requirements:

1. Bachelor’s degree or above, major in economics, finance, science and engineering and other related areas.

2. 3-5 years' working experience in risk management and credit control in securities firms, with keen interest in the equity and fixed income markets.

3. Clear logical thinking and strong data compilation and analysis capabilities.

4. Strong learning ability, serious work attitude, meticulous, and strong sense of responsibility.

5. Excellent presentation and communication skills.

6. Preference will be given to applicants who have passed CFA, FRM and/or other relevant qualifications.

We offer competitive remuneration packages to the successful candidates. Interested candidates may send us your detailed resume with current & expected salary and availability.

All information collected will be kept in strict confidence and will be used for recruitment purpose only.

• Seniority level Associate

• Employment type Full-time

• Job function Finance
• Industries Investment Banking

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Eastern District, Hong Kong SAR 3 days ago

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Direct message the job poster from DBS Bank

Business Function:

Risk Management Group (RMG) is responsible for the development and maintenance of risk management and internal control frameworks. We provide independent review and challenge to business to ensure that appropriate balance is considered in risk/return decisions. In addition, RMG is responsible for the monitoring and reporting on key risk issues of the Bank. To manage risk effectively and deliver strong financial performance, we invest significantly in our people and infrastructure.

Job Purpose:

As the Country Head of Technology Risk Management in DBS, you will be responsible for overseeing the country’s technology risk management function. This pivotal role involves identifying, assessing, and managing technology-related risks (including Gen AI and Data Governance) to ensure the bank's information technology infrastructure and systems are secure, reliable, and compliant with regulatory standards. This position reports directly to Senior Risk Executive to ensure that the 2nd line of defence can provide a supplementary viewpoint in the risk assessment when issues arise. By leading a team of risk management professionals, you will play a crucial role in safeguarding the bank's reputation, assets, and customer data against potential technological threats and vulnerabilities.

Responsibilities:

Risk Assessment and Management

• Identify, evaluate, and prioritize potential technology-related risks across the bank's IT environment in accordance to the Group’s technology risk management framework
• Conduct regular risk assessments to evaluate the effectiveness of existing controls and identify areas for improvement
• Collaborate with other departments, such as IT, cybersecurity, compliance, and business units, to ensure a coordinated approach to technology risk management

Technology Policy and Standards

• Implement governance around key processes, and adequacy of frameworks and policies for technology risk management and ensure these are aligned with industry best practices and regulatory requirements
• Ensure compliance with relevant laws, regulations, and internal policies relating to technology risk management

Incident Response and Crisis Management

• Develop and execute incident response plans to handle technology-related incidents, including cyberattacks, data breaches, system failures, and other IT-related disruptions.
• Lead the response and recovery efforts during crisis situations to minimize the impact on the bank's operations and customers

Risk Mitigation and Control Implementation

• Propose and implement risk mitigation strategies to reduce the bank's exposure to potential technology risks
• Monitor the implementation and effectiveness of controls and measures to safeguard the bank's technology assets and data

Reporting and Communication

• Prepare regular risk reports for senior management and the board of directors, highlighting key technology risk issues, trends, and remediation actions
• Communicate risk-related matters to various stakeholders, including executive management, business units, auditors, and regulatory bodies

Emerging Technology Risk Analysis

• Stay up-to-date with the latest technological advancements and industry trends to identify and assess potential risks associated with new technologies
• Advise on the adoption of emerging technologies with a focus on managing associated risks effectively

Alert Monitoring and Stress Testing

• Work with Line 1 (first line of defence) to determine the threshold standard to monitor alerts. Challenge the LOBTs on the monitoring and define scenarios for stress-testing. Monitor and ensure all flagged issues are tracked to closure
• Participate in stress testing for various disaster recovery scenarios on an adhoc or periodic basis, taking a more thoughtful view at a higher level of what should be tested, including (i) observability (figure out what is happening e.g. is system available/working ok) (ii) scenarios for disaster recovery, and (iii) potential thought experiments (what happens in certain scenarios and whether these scenarios have been tested)

Team Leadership and Development

• Recruit, train, and lead a team of technology risk professionals, ensuring they have the necessary skills and knowledge to perform their roles effectively
• Foster a culture of risk awareness and compliance within the team and across the bank

Requirements:

• Bachelor's or Master's degree in Information Technology, Computer Science, Risk Management, or a related field
• Significant experience in technology risk management, information security, IT auditing, or a related discipline, preferably within the financial services industry
• Proven leadership and management experience, with the ability to guide and motivate a team effectively
• Strong understanding of IT infrastructure, applications, cybersecurity principles, and technology-related regulations and standards. Domain expertise in one or more of these areas preferred
• Familiarity with industry frameworks and methodologies for technology risk management, such as NIST Cybersecurity Framework, ISO 27001, and COBIT
• Excellent analytical and problem-solving skills, with a keen eye for detail
• Exceptional communication and presentation abilities, with the capability to convey complex technical concepts to non-technical stakeholders
• Professional certifications such as CISA (Certified Information Systems Auditor), CISM (Certified Information Security Manager), or CRISC (Certified in Risk and Information Systems Control) are advantageous
• As the Head of Technology Risk, you will play a critical role in maintaining the bank's technology resilience, ensuring that it can leverage technology while effectively managing potential risks that may arise from the digital landscape

Apply Now

We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.

We regret only shortlisted candidates will be notified.

• Seniority level Director

• Employment type Full-time

• Job function Information Technology, Consulting, and General Business
• Industries Banking, Investment Banking, and Capital Markets

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Join to apply for the AVP / Senior Associate, Operational Risk Management, Risk Management Group role at DBS Bank

Join to apply for the AVP / Senior Associate, Operational Risk Management, Risk Management Group role at DBS Bank

Business Function
Risk Management Group (RMG) is responsible for the development and maintenance of risk management and internal control frameworks. We provide independent review and challenge to business to ensure that appropriate balance is considered in risk/return decisions. In addition, RMG is responsible for the monitoring and reporting on key risk issues of the Bank. To manage risk effectively and deliver strong financial performance, we invest significantly in our people and infrastructure.

Business Function
Risk Management Group (RMG) is responsible for the development and maintenance of risk management and internal control frameworks. We provide independent review and challenge to business to ensure that appropriate balance is considered in risk/return decisions. In addition, RMG is responsible for the monitoring and reporting on key risk issues of the Bank. To manage risk effectively and deliver strong financial performance, we invest significantly in our people and infrastructure.
Responsibilities

• Collate relevant operation risk data sourced from the operational risk management system and related business and support units (BUs/SUs)
• Assist in compiling management reports for apprising senior management of the Bank’s control environment through extracting data from the master data base maintained
• Assist team leads in organising and facilitating committee meetings
• Drive and participate in projects or working groups, in the development of dashboards, automated tools/systems, machine learning models for operational risk management
• Monitor and follow-up with the BUs/SUs on timely completion of operational risk related tasks/processes including RCSAs, KRIs, unit operational risk profiles, risk events update, thematic review, corrective actions, Post Implementation Review
• Participate and support regional initiatives
  

• Degree holder with at least 5 years working experience in banking and finance industry
• Experience in operational risk management, auditing, compliance, or data privacy would be an advantage
• Sound knowledge of retail or institutional banking operations, products and regulatory requirements would be an advantage
• Ability to design the controls and present the process in a clear and concise manner
• Excellent critical thinking and analysis skills, problem solving capacities
• Excellent written & spoken English & Chinese
• Good attitude, strong interpersonal & communication skills
• Able to work under pressure & meet deadlines
  

• Seniority level Not Applicable

• Employment type Full-time

• Job function Quality Assurance
• Industries Banking, Financial Services, and Investment Banking

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New York City Metropolitan Area 2 weeks ago

Wan Chai District, Hong Kong SAR 4 weeks ago

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Join to apply for the Assistant Vice President - Quantitative Risk Management - Group Risk Management role at Hong Kong Exchanges and Clearing Limited (HKEX)

1 year ago Be among the first 25 applicants

Join to apply for the Assistant Vice President - Quantitative Risk Management - Group Risk Management role at Hong Kong Exchanges and Clearing Limited (HKEX)

Company Introduction:

We’re home to Asia's most dynamic and vibrant capital markets.
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.

HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."

Job Summary:
Quantitative Risk Management (QRM) is responsible for providing governance to the first line risk teams across all HKEX group clearing houses on initiatives such as new product/service launch, methodology changes and model parameter reviews. The team is also responsible for establishing the model risk governance framework of the group, financial risk policy / appetite reviews, group level financial risk data management and other group risk management related quantitative modelling works for continued enhancements of its risk management capabilities.

Company Introduction:
We’re home to Asia's most dynamic and vibrant capital markets.
Connecting capital, ideas, inspiration and innovation for deeper, more diverse and liquid global capital markets; providing greater choice and opportunity for our customers, each and every day.
HKEX is a purpose-driven company. Our commitment to the long-term development of our business and our markets is articulated in our purpose: "To Connect, Promote and Progress our Markets and the Communities they support for the prosperity of all."
Job Summary:
Quantitative Risk Management (QRM) is responsible for providing governance to the first line risk teams across all HKEX group clearing houses on initiatives such as new product/service launch, methodology changes and model parameter reviews. The team is also responsible for establishing the model risk governance framework of the group, financial risk policy / appetite reviews, group level financial risk data management and other group risk management related quantitative modelling works for continued enhancements of its risk management capabilities.
Job Duties:
Responsibilities:

• Join a high calibre team of quant analysts and developers within the Group Quant Risk team in HK.
• Participate actively in model implementation, testing, analysis, and data collection and clean-up etc.
• Develop and maintain of our pricing/risk models and infrastructure components.
• Support and liaise with risk management units on quantitative issues such as pricing, risk analysis, historical analysis, and statistical analysis.
• Collaborate closely with the model validation team to facilitate the validation of the models that the team developed.
• Work with the Data teams in order to support the production and be able to roll out in a timely fashion our new models or fixes.
  

• A Master/PhD degree in a highly quantitative field (Physics, Mathematics, Financial Engineering, Electrical Engineering, Statistics etc.)
• 3+ years experiences in financial markets, and hands-on experiences in derivatives pricing, risk modelling and proven record of delivering high quality results
• Experience and proficiency in Python are preferred
• Experiences in large datasets, tick data experience are highly regarded
• Knowledge of order management and market micro-structure is preferred
• Strong analytical and problem-solving skills
• Outstanding aptitude for teamwork and willingness to learn
• Good written and verbal communication skills are required
• Fluent in English
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales

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Shenzhen, Guangdong, China CN¥20,000.00-CN¥40,000.00 1 year ago

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Join to apply for the Risk Management Manager (Insurance Risk) role at BOC Group Life Assurance Company Limited

1 day ago Be among the first 25 applicants

Join to apply for the Risk Management Manager (Insurance Risk) role at BOC Group Life Assurance Company Limited

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Job Responsibilities:
The incumbent will be assisting in risk management of capital, ALM (asset and liability management) and insurance/reinsurance risks. Detailed jobs include ORSA report, HKRBC capital risk management, risk framework and policy review, product due diligence and risk monitoring.

Job Responsibilities:
The incumbent will be assisting in risk management of capital, ALM (asset and liability management) and insurance/reinsurance risks. Detailed jobs include ORSA report, HKRBC capital risk management, risk framework and policy review, product due diligence and risk monitoring.
Job Requirements:

• Degree in Actuarial, Economics, Finance, Mathematics or equivalent.
• Minimum 5 years actuarial or other related insurance experience in life insurance industry, preferably with capital management experience
• Strong interpersonal, problem solving and time management skills.
• Good attention to details for high accuracy.
• Excellent working knowledge in Excel & Access.
• Proficient in spoken & written English & Chinese (Cantonese & Mandarin).
• Candidates with actuarial background will be a definite asset
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales
• Industries Insurance

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Sha Tin District, Hong Kong SAR 2 weeks ago

Kowloon City District, Hong Kong SAR 2 weeks ago

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