18 Audit Compliance jobs in Hong Kong

Join to apply for the Quality Surveyor | Manufacturing Process Audit | Regulatory Compliance | Quality Assurance role at Hong Kong Aero Engine Services Limited (HAESL)

We are looking for a dedicated Quality Surveyor to join our team. In this role, you will be crucial in ensuring compliance with regulatory and customer requirements while conducting internal audits and driving continuous improvements in our business processes.

• Conduct internal audits to assess compliance and operational effectiveness.
• Liaise with external auditors during organization-wide audits.
• Ensure the organization meets all regulatory and customer requirements.
• Conduct quality investigations to identify and resolve issues.
• Drive continuous improvements in business processes and production workflows.

• A university graduate, preferably in Engineering, Quality Assurance or a related field.
• Minimum 3 years of auditing experience, preferably in the aviation industry.
• Experience in audit/compliance monitoring is an advantage.
• Strong command of spoken and written English and Cantonese/Chinese.
• Proficiency in MS Office; knowledge of macros, programming, and VBA is preferred.
• Candidates with less experience may be considered for the Assistant Quality Surveyor role.

We offer a competitive benefits package including coach subsidy, staff canteen subsidy, double pay, incentive bonuses, medical coverage for dependents and children, education subsidies, and more.

Please submit your CV online. If you do not hear from us within four weeks, consider your application unsuccessful. Data collected will only be used for recruitment purposes.

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Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people’s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed.

To support the Director, Advisory & Regulatory Compliance in discharging his duties and ensure compliance with relevant law, regulations and Group policies. Providing advice on products and marketing campaign/promotions, liaison for product and marketing materials’ approval by Compliance, as well as providing advisory support for Product and Marketing teams. The role will also provide support on projects and new business initiatives as well as regulatory change implementation, as well as administrative support to the Compliance Advisory team.

Job Responsibilities

• Conduct independent product compliance review throughout the product development cycle as well as post-sales monitoring, including but not limited to ensure the product design meets all applicable regulatory requirements and “Treat Customer Fairly” principle, review the relevant sales and marketing materials as well as the training materials; (iii) product promotion campaign; (iv) marketing campaign, etc.
• Provide advice on product and marketing initiatives
• Provide support on projects and new business initiatives and coordination for regulatory change implementation as and when required
• Provide administrative support in the maintenance of Regulatory Matrix and the Regulatory Compliance System
  
  
  

• Degree holder in related disciplines
• Have over 8 years working experience with at least 5 years in product compliance area in life insurance industry
• Excellent knowledge of (i) laws and regulatory requirements applicable to Life insurance products, and (ii) Life insurance operations (including life administration and agency administration), e.g. underwriting, policy administration, claims, and sales channels (covering agency, bancassurance and broker channels)
• Demonstrate ability on adoption of agile way of working, flexible to change, and ability to make independent, sound and informed decisions
• Excellent command of English and Chinese (written and spoken)
  
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales

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Hong Kong, Hong Kong SAR
$36,000.00
-
$70,000.00
3 weeks ago

Central & Western District, Hong Kong SAR 4 weeks ago

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3 days ago Be among the first 25 applicants

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Prudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support our people’s career ambitions. We pledge to make Prudential a place where you can Connect, Grow, and Succeed.
To support the Director, Advisory & Regulatory Compliance in discharging his duties and ensure compliance with relevant law, regulations and Group policies. Providing advice on products and marketing campaign/promotions, liaison for product and marketing materials’ approval by Compliance, as well as providing advisory support for Product and Marketing teams. The role will also provide support on projects and new business initiatives as well as regulatory change implementation, as well as administrative support to the Compliance Advisory team.
Job Responsibilities

• Conduct independent product compliance review throughout the product development cycle as well as post-sales monitoring, including but not limited to ensure the product design meets all applicable regulatory requirements and “Treat Customer Fairly” principle, review the relevant sales and marketing materials as well as the training materials; (iii) product promotion campaign; (iv) marketing campaign, etc.
• Provide advice on product and marketing initiatives
• Provide support on projects and new business initiatives and coordination for regulatory change implementation as and when required
• Provide administrative support in the maintenance of Regulatory Matrix and the Regulatory Compliance System
  

• Degree holder in related disciplines
• Have over 8 years working experience with at least 5 years in product compliance area in life insurance industry
• Excellent knowledge of (i) laws and regulatory requirements applicable to Life insurance products, and (ii) Life insurance operations (including life administration and agency administration), e.g. underwriting, policy administration, claims, and sales channels (covering agency, bancassurance and broker channels)
• Demonstrate ability on adoption of agile way of working, flexible to change, and ability to make independent, sound and informed decisions
• Excellent command of English and Chinese (written and spoken)
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales

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Hong Kong, Hong Kong SAR
$36,000.00
-
$70,000.00
3 weeks ago

Central & Western District, Hong Kong SAR 4 weeks ago

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Join to apply for the Senior Regulatory Compliance Lead (SFC) role at Reap

Join to apply for the Senior Regulatory Compliance Lead (SFC) role at Reap

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About Reap

Reap is a global financial technology company headquartered in Hong Kong with employees across multiple countries. We enable financial connectivity and access for businesses worldwide by combining traditional finance with stablecoins for efficient money movement.

About Reap

Reap is a global financial technology company headquartered in Hong Kong with employees across multiple countries. We enable financial connectivity and access for businesses worldwide by combining traditional finance with stablecoins for efficient money movement.

Through our stablecoin-powered corporate cards, payments, and expense management tools, we streamline financial operations and help businesses scale. Our APIs enable businesses to integrate stablecoin-enabled finance into their own products and services—from issuing Visa cards to facilitating cross-border payments.

Backed by leading investors including Index Ventures and HashKey Capital, Reap is building the future of borderless, stablecoin-enabled finance.

About The Team

You will be part of a global Legal, Risk and Compliance team to jointly build and operate a best-in-class regulatory compliance program as Reap seeks to deepen its roots in its Hong Kong headquarters. You will report directly to the General Counsel.

What You’ll Do

We are seeking an experienced professional to oversee and manage the licensing and regulatory compliance for Securities and Futures Commission ("SFC") and Customs and Excise Department ("C&ED") regulated activities with a virtual asset element, primarily: VA Custody, VA Dealing, money service operator ("MSO") and potentially securities licenses (Type 1,4,9).

This role is critical to ensuring our firm operates within the evolving regulatory framework governing virtual assets and traditional securities in Hong Kong and remains a leader in the space.

You will be supported by a large support team across all areas but you will drive the understanding, maintenance and overall compliance of the program requirements. You will be granted wide autonomy and decision-making ability to achieve this goal and ensure regulatory compliance is maintained at the highest level at all times.

Specifically You Will

• Prepare and submit licensing application bundles to the SFC
• Create understanding across all teams and stakeholders of the relevant requirements and drive the enhancements necessary with support from Product, Engineering, Finance and more
• Coordinate and manage the external assessment process
• Implement and monitor robust internal control systems and governance structures
• Act as the primary contact point with all regulator enquiries and license renewals and maintain communications to build trust
• Be the subject matter expert in Hong Kong for all licensing and AML matters including SFC and CED
• Act as the responsible officer as required for licensing purpose
  
  

• 8+ years relevant experience within fintech, payment companies, virtual assets companies or other financial institutions
• Legal qualifications and experience would be a plus
• Deep understanding of stablecoins and virtual asset regulations in Hong Kong
• Strong understanding of regulatory frameworks and decision-making processes of HK regulators
• Ability to work collaboratively within a complex organization, across multiple cultures, geographies, and disciplines
• You understand that not all the rules are black and white, there will sometimes be grey areas and edge cases that require a deep knowledge of the relevant regulations and the ability to assess the situation with creativity and thoughtfulness
  
  

• Your own Reap Card for expense management
• Fully flexible remote work options
• Share options

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal

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Wan Chai District, Hong Kong SAR 1 day ago

Central & Western District, Hong Kong SAR 3 weeks ago

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Join to apply for the Senior Associate, Marketing & Regulatory Compliance role at Ares Management Corporation

1 week ago Be among the first 25 applicants

Join to apply for the Senior Associate, Marketing & Regulatory Compliance role at Ares Management Corporation

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Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming, we are committed to fostering a welcoming and inclusive work environment where high-performance talent of diverse backgrounds, experiences, and perspectives can build careers within this exciting and growing industry.

Summary

Job Description

The Ares Legal & Compliance Department oversees and manages Ares’ global Legal, Regulatory and Compliance functions and programs. Under the leadership of the Global Chief Compliance Officer, the Compliance and Regulatory functions are comprised of teams that operate collaboratively with a global focus, including Regulatory, which oversees all global regulatory matters including the Advisers Act, Investment Company Act and FINRA; Investment Adviser Compliance (including Code of Ethics), which administers global policies and central compliance and oversight functions; European and Asia Pacific Compliance, which oversees region-specific compliance and regulatory matters; and Financial Crime Prevention, which oversees Ares’ adherence to financial crimes-related rules and regulations.

Ares is seeking a Senior Associate to support its Asia Pacific regional marketing compliance program and its Hong Kong regulatory compliance program. The individual will be primarily responsible for the review of the Ares Asia business units’ marketing materials and external communications, as well as cross-border marketing and fund distribution activities in the Asia Pacific region. The individual will also be instrumental in supporting the day-to-day compliance matters of the regulatory compliance program in Hong Kong. The individual will work closely with the global compliance teams in support of the development of Ares’ global and regional compliance program.

The successful candidate will be a self-motivated individual who is a competent and passionate compliance professional, with strong foundation in the regulations applicable to alternative investment managers in Hong Kong, and a desire to excel and appreciate the exposure and challenges that are provided by the growth and expansion of Ares businesses in the Asia Pacific region and the rapidly changing regulatory and compliance environment. Proactive, detail-oriented professionals comfortable working closely with business teams in a fast-paced environment will be best suited for the role.

Primary Functions & Essential Responsibilities

The individual will play a key role in marketing compliance in APAC. Specific responsibilities will include:

• Act as subject matter expert regarding marketing and communications related regulatory guidelines (SEC and FINRA, and various APAC guidelines), APAC cross-border compliance, offering restrictions and investor qualifications.
• Collaborate with the respective country compliance officers and global marketing compliance team to serve as a central point of coordination for marketing- and fund distribution-related matters in APAC.
• Provide compliance guidance, review and oversight of marketing materials and external communications, including fund marketing decks, offering documents, DDQs, press releases, RFPs, data rooms, webinars, investor reports and annual investor meeting materials, and the translations of such materials into local languages.
• Provide compliance guidance, review and oversight of cross-border marketing and fund distribution activities in APAC, including fund registrations and offering exemptions, and investor qualification matters.
• Assist with developing, revising, and implementing policies and procedures regarding marketing and distribution activities in APAC to ensure alignment with regulatory expectations.
• Serve as liaison and escalation point between the Compliance team and Investor Relations teams as well as Relationship Managers.
• The individual will also be instrumental in supporting the Hong Kong regulatory compliance program.
• Handle and/or collaborate with relevant teams for the accurate and timely submission of required regulatory filings, including licensing applications, notifications, annual returns, FRR returns, BRMQs, and regulatory surveys.
• Provide regulatory compliance guidance and review of all business activities in Hong Kong, including to support the review and monitoring of internal compliance with applicable regulatory requirements, and the analysis and implementation of regulatory changes.
• Collaborate with the respective global compliance teams as well as other relevant teams and functions, and assist with developing, revising, and implementing global policies and procedures in Hong Kong to ensure alignment with local regulatory expectations as well as the firm’s global standards.
• Assist with other strategic and ad-hoc compliance initiatives as needed.
  
  

• Bachelor’s Degree required. JD or other advanced degree considered a plus.
  
  

• 5+ years of compliance experience working in a regulated alternative investment manager, with strong foundation of regulatory compliance matters in investment advisory and management firms in Hong Kong, including but not limited to the FMCC requirements applicable to ROOFs.
• Working knowledge of general regulatory compliance matters and regulatory reporting requirements in Hong Kong, including hands-on experience in interpretation of SFC regulations, regulatory reviews and compliance monitoring, and the handling of regulatory filings to SFC.
• Working knowledge of marketing and distribution related regulatory compliance matters across the Asia Pacific region, including experience in reviewing marketing materials for institutional and alternative products and/or cross-border compliance such as offering restrictions and investor qualifications.
• Solid understanding of the alternative investment management industry and relevant business activities, preferably with experience in private credit, private equity and/or real estate.
• Knowledge of global asset management legal and regulatory compliance, risk management, and industry best practices.
• Ideally have knowledge of, and be willing to learn more about the general regulatory compliance matters in the US (SEC and FINRA) and other APAC jurisdictions.
  
  

• Self-motivated and strong sense of ownership and accountability, with a focus on process orientation.
• High accuracy and extremely detail-oriented.
• Ability to multi-task and prioritize deadlines; results-oriented.
• Ability to work closely with business teams to understand business needs and foster trusted partnerships.
• Excellent command in English.
• Strong interpersonal skills and excellent team orientation.
• Display good judgment and logical decision making apart from highly developed technical skills.
• Experience and ability to proactively identify and analyze problem situations to develop an effective course of action for resolution.
• Possess multi-tasking skills and ability to work well under pressure in a fast-paced environment.
• Excellent organizational skills, demonstrated ability to manage competing priorities and lead large scale projects to completion.
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Marketing and Sales

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