What Jobs are available for Banking Compliance in Hong Kong?

Showing 116 Banking Compliance jobs in Hong Kong

Investment Banking Compliance Advisor

$80000 - $200000 Y Societe Generale

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Job Description

Reference 25000IFU

Responsibilities
Advisory and Regulatory Interpretations

  • Provide day-to-day compliance advisory to ECM, Corporate Finance, Syndicate, and Coverage teams on HK specific regulations
  • Interpret and advise on the SFO, Listing Rules, Takeovers Code, and sponsor regime under the SFC's Code of Conduct and Listing Rules
  • Disclosure obligations, handling of inside information, pre-deal soundings and wall crossing protocols.

Transaction Oversight

  • Support due diligence, bookbuilding, and underwriting processes by ensuring adherence to regulatory and internal policies.
  • Monitor conflicts of interest, related party transactions, and independence requirements in sponsor and underwriting roles.
  • Participate in deal committees and conduct independent compliance reviews on IPSs, placings, rights issues, M&A, and privatizations.

Regulatory Engagement

  • Assist in handling SFC and HKEX enquiries, regulatory filings, or investigations related to ECM transaction.
  • Liaise with legal, risk, and control room teams to manage deal disclosures, leak management, and blackout lists.

Policy Development and Training

  • Draft, maintain, and deliver ECM compliance policies and procedures specific to HK
  • Deliver targeted training to bankers, syndicate, and support staff on HK Takeovers Code, market conduct, and IPO sponsor duties.

Governance and Control

  • Monitor and test compliance with key controls around deal approval, wall crossing, material non-public information (MNPI) and research analyst independence.
  • Maintain records to demonstrate compliance with due diligence guidelines and sponsor independence requirements.

Required
Profile required
Education and Experience

  • Bachelor's degree in law, Finance, Legal qualifications are a plus
  • Substantial relevant experience in ECM Compliance, Legal or Regulatory Advisory, preferably within a global investment bank or HK Law firm.
  • Strong working knowledge of all the investment banking related regulations

Skills & Competencies

  • Deep understanding of equity capital markets deals structures, lifecycle, and transactions risks
  • Strong analytical and problem-solving skills s with high attention to detail.
  • Excellent communication and interpersonal skills, able to deliver clear advice under pressure
  • Fluent in English
  • Proven ability to work independently and collaboratively with multiple stakeholders across functions
  • Comfortable in a fast-paced and dynamic deal driven environment

Behavioral Skills
HKMA Enhanced Competency Framework (ECF) certification is preferred

  • Client - Risk: I strive to satisfy clients while taking into account risks for the company
  • Client - Understanding and Respect: I listen to clients and colleagues in order to understand and anticipate their needs
  • Team Spirit - Conflict Management: I deal with conflicts proactively and in a positive mode
  • Innovation - Simplification: I make things & ideas simple
  • Responsibility - Risk awareness: I am constantly on the lookout for risks
  • Commitment - Sustainability: I strive to develop my skills and knowledge

Diversity, Equity & Inclusion (DE&I):
Our mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our vision:

  • Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
  • Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
  • Engage our community and marketplace, and position the organization to meet the needs of all its clients

Check out our DE&I initiatives:

Hybrid Work Environment:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs

Department Description
SG HK Compliance Department is seeking a highly motivated and knowledgeable ECM Compliance Officer to support our Equity Capital Markets (ECM) and Investment Banking teams in HK.

The role will provide the successful candidate with a unique opportunity to apprehend the various Investment Banking businesses of a top-tier European bank and will be evolving at the forefront of regulatory developments. The position will involve the opportunity to contribute to the build-up and growth of the ECM and M&A franchise and will be in constant interaction with senior management, business lines, and various compliance teams. It is suitable for candidates with appetite for exciting challenges from transforming projects, day-to-day production and advisory components of a role at senior level.

The Investment Banking Compliance Advisor reports hierarchically to the APAC Head of GLBA (Global Banking and Advisory business line) Compliance Advisory and Control Room and primarily supports Investment Banking business, ECM and M&A (IBD), within GLBA (Global Banking and Advisory).

In this capacity, the role includes the support of growth projects in the IBD area, with a leadership mandate to establish the compliance support framework for the new / developing activities, including but not limited to the establishment of ECM franchise in Hong Kong.

Business insight
Our Culture:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.

Please visit our APAC career website: for more information.

Diversity and Inclusion
We are an
equal opportunities employer
and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and
promoting all talents
, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

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VP/AVP Wealth Management/Private Banking Compliance

Charterhouse Partnership | Asia

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Job Description

Are you a seasoned compliance professional ready to make an impact in a dynamic, international financial environment? This is your opportunity to join a prestigious firm with deep roots in private wealth management and a strong presence across major financial hubs.

What You'll Be Doing

As a key member of the Hong Kong Compliance team supporting the Private Wealth Management division, you will:

  • Deliver expert guidance on regulatory matters, ensuring business practices align with local and international standards.
  • Collaborate with senior leadership to assess and manage regulatory risks.
  • Design and execute compliance monitoring programs and internal control frameworks.
  • Identify gaps or inconsistencies in processes and escalate issues with actionable recommendations.
  • Stay ahead of regulatory developments and communicate changes effectively across the organization.
  • Lead training initiatives to promote a strong compliance culture and enhance risk awareness.
  • Support broader compliance functions as needed, contributing to a cohesive and proactive team environment.

What You Bring

  • At least 5 years of experience in compliance or legal roles within banking, preferably in private banking or wealth management.
  • Solid understanding of Hong Kong's regulatory landscape (HKMA/SFC).
  • Proven track record in regulatory advisory and surveillance.
  • Fluent in English and Cantonese; Mandarin is a plus.
  • Tech-savvy with proficiency in compliance-related tools and systems.
  • Detail-oriented, self-driven, and capable of managing multiple priorities under tight deadlines.
  • A team player who thrives in a fast-paced, high-stakes environment.
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Private Banking KYC compliance

$1200000 - $3600000 Y Kerry Consulting

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Job Description

Role: Private Banking KYC Compliance

Client: Private Bank

Location: Hong Kong

This is a newly created individual contributor position in a boutique private bank.

Responsibilities:

  • Primary responsibility in reviewing SOW / SOF and approving high risk clients
  • Provide advisory to the business on AML/CFT matters
  • Support the development and implementation of policies and procedures in line with new / amendments to regulations

Pre-requisites:

  • Hands-on experience in assessment / approval to onboard or retain high-risk clients
  • 5-10 years of relevant private banking KYC experience
  • Strong knowledge of Hong Kong private banking regulations
  • Broader financial crime compliance advisory and policy experience would be advantageous

Please submit your resume to Eliza Ng at , quoting the job title. We regret that only shortlisted applicants will be contacted.

L/N 16S8060

R/N R

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Officer (Private Banking, Risk & Compliance support and Surveillance)

$100000 - $150000 Y PERSOL

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Job Description

Our client is a reputable Singapore bank. They are seeking for an Officer to support their daily operation.

Responsibilities:

  • Conduct surveillance on sales activities, including pre-trade, post-trade and on-going monitoring of the investment sales process to access the quality of sales activities and adherence to proper standards and procedures
  • Perform close supervision reviews and other ad hoc reviews as needed
  • Work closely with the Front Office and Management on control related matters to ensure corporate standards and regulatory requirements are met
  • Access and identify internal control weaknesses to implement necessary rectifications or changes in control procedures.
  • Liaise with various control and support units on the review, update and implementation of policies, procedures and control measures to ensure compliance with regulatory requirements
  • Prepare management reports and presentations on sales process quality on a regular basis

Requirements:

  • Degree holder with at least 1 years of relevant work experience in the financial industry.  Preferably with field experience of computer studies, risk management, internal audit or compliance.
  • Good understanding of relevant HKMA and SFC rules, regulations, practices and guidelines is preferred
  • Fluent in Cantonese, English and Mandarin
  • Fresh Graduate is welcomed

To apply for this position, please simply click on the "APPLY" button or send your full resume to in word format indicating the job title.  If you are not contacted by our consultants within 2 weeks, please consider your application unsuccessful. All applications will be treated in strict confidence, and used for recruitment purposes only in accordance with PERSOLKELLY Hong Kong Limited's Privacy Notice.

PERSOLKELLY Hong Kong Limited: Employment Agency Licence No. 79017

PERSOL Hong Kong: Employment Agency Licence No. 79006

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Compliance Officer

$300000 - $600000 Y HRTX consulting

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Job Description

Responsibilities

The Compliance Officer will be responsible for ensuring strict adherence to the AMLO and guidelines from the Hong Kong Customs and Excise Department (C&ED). Key duties include:

  • Developing and updating anti-money laundering (AML) and counter-terrorist financing (CFT) policies and procedures.
  • Acting as the main advisor for staff on daily AML/CFT compliance and transaction approvals.
  • Managing the renewal of the Money Service Operator (MSO) license and corporate detail changes with the C&ED.
  • Preparing and submitting statutory reports, such as suspicious transaction reports (STRs), to the JFIU and financial reports to the C&ED.
  • Conducting regular institutional risk assessments to identify and mitigate financial risks.
  • Opening correspondent accounts for MSOs and conducting daily transaction monitoring.
  • Checking client documents, opening client accounts, and communicating with clients for additional information.

Requirements

Candidates must meet the following criteria:

  • A bachelor's degree in Law, Finance, Business Administration, or a related field.
  • A minimum of 3-5 years of proven experience in a compliance/AML role within a licensed Hong Kong Money Service Operator (MSO).
  • Practical experience in conducting AML/CFT checks, customer due diligence (CDD), and transaction monitoring.
  • Solid experience in developing and implementing compliance programs.
  • Proficiency in English and Cantonese is essential.
  • In-depth knowledge of AML/CFT ordinances and cross-border reporting regulations is required.
  • Certification such as a Certified Anti-Money Laundering Specialist (CAMS) or an equivalent international certification is preferred.

Job Types: Full-time, Permanent

Pay: From $25,000.00 per month

Benefits:

  • Opportunities for promotion
  • Professional development

Application Question(s):

  • Kindly indicate your expected salary

Experience:

  • Compliance/AML: 4 years (Required)
  • Financial Services: 4 years (Required)

License/Certification:

  • Certified Anti Money Laundering Specialist (Required)

Work Location: In person

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Compliance Officer

$80000 - $160000 Y Aquis Search Limited

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Job Description

Our client is a global proprietary trading firm and market maker with a strong presence across major financial hubs. The firm is a leading liquidity provider in listed derivatives, equities, ETFs, bonds, and foreign currencies. Its mission is to improve markets through competitive pricing, efficient execution, and sound risk management.

Key Responsibilities -

Reporting to the Head of Compliance, Hong Kong, you will:

  • Serve as a trusted Compliance advisor to senior management and trading teams, providing strategic and regulatory guidance aligned with the firm's risk appetite.
  • Support the execution of the APAC Compliance strategy, focusing on Japan and Hong Kong equities markets.
  • Conduct risk assessments, lead training programs, and develop policies and controls to ensure regulatory compliance.
  • Participate in strategic and new business initiatives, conducting detailed Compliance reviews to ensure alignment with regulations and internal standards.
  • Collaborate with regional Compliance counterparts to enhance consistency, efficiency, and innovation across markets.
  • Foster a strong culture of integrity, accountability, and ethical conduct throughout the organization.
  • Liaise with regulators and industry bodies as required.

Requirements -

  • Bachelor's degree or equivalent qualification.
  • 5+ years of Compliance experience in the trading or market-making industry, with strong exposure to equities trading.
  • Deep understanding of Japan equities markets and related regulatory frameworks is highly preferred.
  • Proficiency in Japanese (language and culture) to manage business communications and regulatory interactions effectively.
  • Proven ability to design, implement, and manage effective Compliance programs, policies, and controls.
  • Strong analytical and problem-solving skills with the ability to translate regulatory requirements into practical business solutions.
  • Excellent communication and stakeholder management skills, with confidence in advising senior leaders.
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Compliance Officer

$40000 - $120000 Y Chandler Macleod Group (HK) Limited

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Job Description

Details:Location: Quarry Bay

Working hour: Mon - Fri,

1 year renewable contract Responsibilities

Risk Control & Compliance

  • Assist in the execution and maintenance of controls to ensure daily operations comply with all Bank policies and procedures.
  • Support periodical assessment exercises, control self-assessments, and department health checks to mitigate risks and meet audit and regulatory requirements.
  • Assist in promoting risk & control awareness within Digital and support staff compliance training initiatives.
  • Participate in regular assessments including RCSA, ICA, and BCP exercises.
  • Provide support during internal and external audit reviews.

Requirements

  • University degree or equivalent, preferably in Business or Economic or Finance.
  • Minimum 2-3 years of experience in banking field or financial industry.
  • Sound understanding of banking operations, internal control, and compliance principles.
  • Detail-oriented with strong analytical and problem-solving skills.
  • Self-motivated with the ability to work independently and as part of a team.
  • Good interpersonal, communication and presentation skills.
  • Proficiency in spoken / writing skills in both English and Chinese.
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Compliance Officer

$480000 - $720000 Y HR TechX Corp.

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Job Description

Responsibilities
The Compliance Officer will be responsible for ensuring strict adherence to the AMLO and guidelines from the Hong Kong Customs and Excise Department (C&ED). Key duties include:

  • Developing and updating anti-money laundering (AML) and counter-terrorist financing (CFT) policies and procedures.
  • Acting as the main advisor for staff on daily AML/CFT compliance and transaction approvals.
  • Managing the renewal of the Money Service Operator (MSO) license and corporate detail changes with the C&ED.
  • Preparing and submitting statutory reports, such as suspicious transaction reports (STRs), to the JFIU and financial reports to the C&ED.
  • Conducting regular institutional risk assessments to identify and mitigate financial risks.
  • Opening correspondent accounts for MSOs and conducting daily transaction monitoring.
  • Checking client documents, opening client accounts, and communicating with clients for additional information.

Requirements
Candidates must meet the following criteria:

  • A bachelor's degree in Law, Finance, Business Administration, or a related field.
  • A minimum of 3-5 years of proven experience in a compliance/AML role within a licensed Hong Kong Money Service Operator (MSO).
  • Practical experience in conducting AML/CFT checks, customer due diligence (CDD), and transaction monitoring.
  • Solid experience in developing and implementing compliance programs.
  • Proficiency in English and Cantonese is essential.
  • In-depth knowledge of AML/CFT ordinances and cross-border reporting regulations is required.
  • Certification such as a Certified Anti-Money Laundering Specialist (CAMS) or an equivalent international certification is preferred.
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Compliance Officer

$40000 - $120000 Y Chandler Macleod

Posted today

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Job Description

Details:
Location: Quarry Bay

Working hour: Mon - Fri,

1 year renewable contract
Responsibilities
Risk Control & Compliance

  • Assist in the execution and maintenance of controls to ensure daily operations comply with all Bank policies and procedures.
  • Support periodical assessment exercises, control self-assessments, and department health checks to mitigate risks and meet audit and regulatory requirements.
  • Assist in promoting risk & control awareness within Digital and support staff compliance training initiatives.
  • Participate in regular assessments including RCSA, ICA, and BCP exercises.
  • Provide support during internal and external audit reviews.

Requirements

  • University degree or equivalent, preferably in Business or Economic or Finance.
  • Minimum 2-3 years of experience in banking field or financial industry.
  • Sound understanding of banking operations, internal control, and compliance principles.
  • Detail-oriented with strong analytical and problem-solving skills.
  • Self-motivated with the ability to work independently and as part of a team.
  • Good interpersonal, communication and presentation skills.
  • Proficiency in spoken / writing skills in both English and Chinese.
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Compliance Officer

$400000 - $800000 Y Sun Life Hong Kong Ltd

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Job Description

You are as unique as your background, experience and point of view. Here, you'll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

Job purpose

The Compliance Officer reports directly to the Chief Compliance Officer, Asia providing overall operational, administrative, and functional support to the entire team.

This includes overall executive assistance, administrative work, Compliance Technology Support, Investigation and Data Analytics, and Project Management.

Major accountabilities

Executive Assistant :

Acts as a trusted partner to leadership, ensuring smooth daily operations and contributing to the organization's overall efficiency by manage and prioritize executive calendars, appointments amongst others.

Prepares high level report on Compliance initiatives, projects, minutes of meetings, and up to an extent facilitate a meeting.

Compliance Team Administrative Assistant:

Provides reliable support to staff and management, contributing to a productive work environment by organizing team events, townhall, meetings and budget management.

Compliance Technology Support:

Supports the team in managing Compliance platforms using digital technology such as artificial intelligence application in data management and maintenance, monitoring and issue tracking, training and documentation. This is under supervisory guidance from Compliance Leaders.

Investigation and Data Analytics:

Supports the team in investigation activities such as data collection, platform assistance, reporting. Supports in data analysis, data management, report generation, and data quality.

Project Management

Support and assist in developing project plans to ensure compliance initiatives are completed on time and within scope.

Support in identifying potential compliance risk related to specific projects and recommend mitigation strategies.

Support in maintaining accurate records of compliance activities, audit findings, and corrective actions.

Stay informed of relevant regulatory changes and incorporate them into project plans as needed.

Specialized knowledge

Digital proficiency: able to understand and use technology in day-to-day operations.

Operational management

Administrative management

Reports and data analysis

Project Management

Problem solving

Able to manage and prioritize tasks and deliverables

Able to proactively resolve administrative issues

Able analyze data points and provide initial data insights to help with business decisions

Education and experience

Over 8 years in being executive assistant, project management, Compliance Support/ Lead/ Officer

Graduate of Bachelor's degree

Familiar with any Compliance tools, or data analytics reporting tools.

Project Management certification (if any)

Communication scope

Chief Compliance Officer, Asia

Compliance Leaders

Compliance Team Members

Other Executives/ Leaders in Corporate, Regional Office, Local Business Groups

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

Full-time

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