23 Code Compliance jobs in Hong Kong

1 day ago Be among the first 25 applicants

This is a pivotal leadership position at the heart of our company's governance and integrity framework. As the SVP of Regulatory Compliance, you will be the designated Compliance Officer, serving as our primary liaison with the Hong Kong Monetary Authority (HKMA). You will be entrusted with the ultimate responsibility for owning, maintaining, and enhancing our compliance framework to ensure we not only meet but exceed regulatory expectations. This strategic role is critical to our license to operate, our public reputation, and our ability to innovate responsibly.

Key Responsibilities:

• Regulatory Relationship Management:
• Lead and manage all regulatory engagement with the HKMA and other relevant authorities. Act as the primary, official point of contact for supervisory teams, handling inquiries, coordinating examinations, and ensuring timely, accurate, and high-quality responses.
• Cultivate and maintain a relationship of trust and transparency with our regulators.
• Compliance Framework & Governance:
• Own and continuously enhance the company's compliance framework, including all policies, procedures, and internal controls to ensure robust adherence to all applicable laws, particularly the Payment Systems and Stored Value Facilities Ordinance (PSSVFO) and other relevant guidelines and circulars.
• Proactively oversee the regulatory monitoring process to identify, assess, and implement necessary changes in response to the evolving legal and regulatory landscape.
• Leadership & Culture:
• Drive a strong, proactive compliance culture throughout the entire organization, from the board level to daily operations.
• Develop and deliver impactful, ongoing compliance training programs for all staff to ensure a high level of awareness and competence across the company.
• Serve as a key member of the leadership team, providing guidance and strategic input on all matters with regulatory implications.
• Advisory & Assurance:
• Act as a strategic advisor to the business and senior management, providing pragmatic and commercially-minded compliance guidance on new products, business initiatives, and emerging technologies.
• Lead internal compliance reviews and risk assessments to provide assurance to the Board and senior management on the effectiveness of the control environment.
• Designated Officer Roles:
• Formally act as the designated Compliance Officer and Code of Conduct Officer for the company, maintaining all required regulatory records and fulfilling all statutory obligations associated with these roles.

Qualifications & Experience:

• A minimum of 10 years of progressive experience in regulatory compliance, risk management, or internal audit within an HKMA-regulated Authorized Institution (AI), Stored Value Facility (SVF), or a relevant regulatory body.
• Deep, demonstrable expertise in the Hong Kong regulatory environment, particularly the Banking Ordinance, PSSVFO and the HKMA's AML/CFT guidelines. Direct experience with Banking or SVF regulations is strongly preferred.
• Bachelor's degree in Law, Finance, Accounting, or a related discipline. Relevant professional qualifications are highly advantageous.
• Proven track record of successfully managing relationships and communications with financial regulators, especially the HKMA.
• Exceptional communication, interpersonal, and stakeholder management skills, with the gravitas to engage effectively with senior management, the Board of Directors, and regulators.
• A proactive, hands-on, and commercially-minded leader with unwavering integrity and a commitment to upholding the highest ethical standards.

General Culture and Benefits of RD Technologies

• Exciting and collaborative startup environment.
• Give your best while having fun and grow as a person.
• A flat structure: your ideas get heard by the right people very quickly.
• Creating your own profile in the startup ecosystem.
• Casual dress code.
• Free coffee, tea, drinks and snacks daily.
• In-house gym facilities.
• Regular and fun company activities.
• Other leaves in addition to annual leaves, e.g. marriage leave, birthday leave, compassionate leave.

Data collected would be used for recruitment purposes only. Applicants who do not hear from us may consider their application unsuccessful and their data will be destroyed within 24 months of receipt.

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Business Development and Sales

Referrals increase your chances of interviewing at RD Technologies by 2x

Get notified about new Vice President Compliance jobs in Hong Kong, Hong Kong SAR .

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Central & Western District, Hong Kong SAR 2 weeks ago

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Manager, Regulatory Compliance & Advisory Manager, Regulatory Compliance & Advisory

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
  
  
  

Job Requirements

• 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)
  
  
  

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales

Referrals increase your chances of interviewing at Prudential Hong Kong by 2x

Get notified about new Regulatory Compliance Manager jobs in Hong Kong, Hong Kong SAR .

Senior Regulatory Compliance Manager (Private Banking) Senior Manager, Global Compliance & Ethics (Bangkok Based, Relocation Provided) Senior Compliance Manager-Consumer Protection FSO - Risk Consulting - NFR (Regulatory Compliance) - Manager or above - HK (Senior) Business Compliance Manager (Corporate Business Compliance Division) Senior Manager, FinCrime Compliance (Bangkok Based, Relocation Provided) Compliance Manager / Senior Manager - Life Insurer Senior Manager & Team Head / Senior Manager – Business & Compliance Department under eMPF Company Assistant Manager – Facilities Management and Projects (13-month Contract) Distribution Operation & Administration, Specialist (Asst Manager Level) Senior Technology Risk Manager (Overseas Branch) Senior Manager – Leasing & Tenancy Compliance Technology Risk Management – Manager (Overseas Branch)

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

Assistant Manager/ Manager – Regulatory & Compliance Senior Officer, Corporate Governance (Ref: CIA188/25, 10508) HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION (Assistant / Deputy) Compliance Manager (Compliance Review)

Central & Western District, Hong Kong SAR 4 weeks ago

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Manager, Regulatory Compliance & Advisory Manager, Regulatory Compliance & Advisory

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
  

Job Requirements

• 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)
  

Prudential is an equal opportunity employer. We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements. Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Finance and Sales

Referrals increase your chances of interviewing at Prudential Hong Kong by 2x

Get notified about new Regulatory Compliance Manager jobs in Hong Kong, Hong Kong SAR .

Senior Regulatory Compliance Manager (Private Banking) Senior Manager, Global Compliance & Ethics (Bangkok Based, Relocation Provided) Senior Compliance Manager-Consumer Protection FSO - Risk Consulting - NFR (Regulatory Compliance) - Manager or above - HK (Senior) Business Compliance Manager (Corporate Business Compliance Division) Senior Manager, FinCrime Compliance (Bangkok Based, Relocation Provided) Compliance Manager / Senior Manager - Life Insurer Senior Manager & Team Head / Senior Manager – Business & Compliance Department under eMPF Company Assistant Manager – Facilities Management and Projects (13-month Contract) Distribution Operation & Administration, Specialist (Asst Manager Level) Senior Technology Risk Manager (Overseas Branch) Senior Manager – Leasing & Tenancy Compliance Technology Risk Management – Manager (Overseas Branch)

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

Assistant Manager/ Manager – Regulatory & Compliance Senior Officer, Corporate Governance (Ref: CIA188/25, 10508) HEAD OF COMPLIANCE | REGIONAL BANK | INTERNATIONAL EXPANSION (Assistant / Deputy) Compliance Manager (Compliance Review)

Central & Western District, Hong Kong SAR 4 weeks ago

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**Director, Regulatory, Product and Sales Compliance**
The Director of Regulatory, Product and Sales Compliance will play an essential role in ensuring the organization's adherence to regulatory standards and internal compliance frameworks. This position requires good knowledge in compliance matters related to product governance, sales practices and marketing material reviews. Key responsibilities include:
**Position Responsibilities:**
+ Providing compliance advisory support for the Regulatory, Product and Sales Compliance team, with a focus on product development, sales processes and marketing materials review;
+ Assisting in the design and implementation of effective compliance programs that address regulatory requirements and internal control frameworks across product, sales and operational functions;
+ Reviewing and advising on new business initiatives, regulatory developments, marketing strategies and emerging compliance risks;
+ Partnering with business units to develop and embed effective control mechanisms and regulatory processes, including customer due diligence, risk identification, product and sales governance;
+ Conducting thorough reviews and providing compliance clearance on product materials, sales campaigns and associated marketing materials;
+ Reviewing periodic compliance and regulatory reports and support annual corporate compliance reporting exercises
**Required Qualifications:**
+ Degree holder in Law, Accounting or Finance;
+ At least 8 years of relevant compliance experience with 5 years in the insurance or asset management industry preferred;
+ Proven experience in engaging with regulatory bodies such as the Insurance Authority and Securities and Futures Commission
+ Good command of both written and spoken English and Chinese
+ Strong analytical and problem-solving skills
+ Demonstrated ability to work independently, with a proactive and detail-oriented approach
+ In-depth knowledge of compliance practices in the life insurance sector, experience with ILAS products an advantage
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
**Acerca de Manulife y John Hancock**
Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite .
**Manulife es un empleador que ofrece igualdad de oportunidades**
En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.
Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a .
**Modalidades de Trabajo**
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You will assist the Asia Pacific Compliance Manager located in Nanjing:

• Assist in overseeing corporate compliance programme
• Ensuring documentation and client database is updated
• Supporting the preparation of different and regular compliance reporting
• Supporting the preparation of new clients submission to the Global Client Acceptance Committee
• Assisting in the review of investor’s KYC
• Assisting in the various second level control testing
• Providing guidance on internal policies and procedures
• Answering specific questions from internal staff on KYC and compliance processes
• Supporting any other (internal/external) requests

YOUR PROFILE:

• You have a University degree in Law, Finance or Economics.
• You have ideally 3 to 4 years of experience in Fund Administration and/or Corporate Service Compliance
• You are proficient in Microsoft Office, especially in Excel
• You are fluent in English. Any other language is considered as an advantage
• You are results-oriented while being conscious of risk management
• You are able to multitask and handle key deliverables with challenging deadlines
• You have a keen eye for details and willing to execute tasks hands-on
• Having knowledge on AML/KYC regulations of Asia Pacific regions will be considered as an advantage

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Accounting/Auditing and Finance

Referrals increase your chances of interviewing at Alter Domus by 2x

Sign in to set job alerts for “Compliance Officer” roles. Legal and Compliance, Assistant Manager (40-50k) Section Head and Senior Process Optimisation Manager - Corporate Risk & Compliance VP, Compliance Officer – Asset Management Senior Regulatory Compliance Manager (Private Banking) Assistant Vice President - Data Governance and Compliance AVP, Enterprise & Financial Risk, Group Risk & Compliance Assistant Manager / Manager, Product and Partnership Management (Financial Services) Chief Underwriting Officer, Insurance (HK) Head of Institutional Sales – Digital Asset Derivatives – Hong Kong CFO Retail Banking & Wealth and Wholesale Finance (HK) Contract Officer, Onboarding KYC, AFC Ops (1-year contract) Compliance Officer, Financial Crime, Compliance AVP, Compliance (Transformation, Digital & Corporate Services) Senior Compliance Officer, General Compliance Internal Legal Compliance Officer (Hong Kong) Compliance Senior Specialist-Hong Kong SAR

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Join to apply for the Legal/Compliance Officer role at HedgeSPA (Sophisticated Predictive Analytics for Hedge Funds and Leading Institutions) .

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Description

• Implement and manage an effective legal compliance program
• Develop and review company policies
• Advise management on the company’s compliance with laws and regulations through detailed reports
• Create and manage effective action plans in response to audit discoveries and compliance violations
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks
• Assess company operations to determine compliance risk
• Ensure all employees are educated on the latest regulations and processes
• Resolve employee concerns about legal compliance

Requirements

• Minimal experience level: Over 1 year
• Career Level: Entry Level
• Minimum English Level: Business Level (English usage about 50%)
• Minimum Education Level: Bachelor's Degree
• Required Skills: Knowledge in legal and regulatory compliance procedures, professional maturity

Benefits

• American-style Employee Stock Option Scheme
• Negotiable salary based on experience
• Bonuses paid on top of indicated salary

Additional Information

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Legal

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Join to apply for the Legal/Compliance Officer role at HedgeSPA (Sophisticated Predictive Analytics for Hedge Funds and Leading Institutions) .

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Description

• Implement and manage an effective legal compliance program
• Develop and review company policies
• Advise management on the company’s compliance with laws and regulations through detailed reports
• Create and manage effective action plans in response to audit discoveries and compliance violations
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks
• Assess company operations to determine compliance risk
• Ensure all employees are educated on the latest regulations and processes
• Resolve employee concerns about legal compliance

Requirements

• Minimal experience level: Over 1 year
• Career Level: Entry Level
• Minimum English Level: Business Level (English usage about 50%)
• Minimum Education Level: Bachelor's Degree
• Required Skills: Knowledge in legal and regulatory compliance procedures, professional maturity

Benefits

• American-style Employee Stock Option Scheme
• Negotiable salary based on experience
• Bonuses paid on top of indicated salary

Additional Information

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Legal

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You will assist the Asia Pacific Compliance Manager located in Nanjing:

• Assist in overseeing corporate compliance programme
• Ensuring documentation and client database is updated
• Supporting the preparation of different and regular compliance reporting
• Supporting the preparation of new clients submission to the Global Client Acceptance Committee
• Assisting in the review of investor’s KYC
• Assisting in the various second level control testing
• Providing guidance on internal policies and procedures
• Answering specific questions from internal staff on KYC and compliance processes
• Supporting any other (internal/external) requests

YOUR PROFILE:

• You have a University degree in Law, Finance or Economics.
• You have ideally 3 to 4 years of experience in Fund Administration and/or Corporate Service Compliance
• You are proficient in Microsoft Office, especially in Excel
• You are fluent in English. Any other language is considered as an advantage
• You are results-oriented while being conscious of risk management
• You are able to multitask and handle key deliverables with challenging deadlines
• You have a keen eye for details and willing to execute tasks hands-on
• Having knowledge on AML/KYC regulations of Asia Pacific regions will be considered as an advantage

Seniority level

• Seniority level Mid-Senior level

Employment type

• Employment type Full-time

Job function

• Job function Accounting/Auditing and Finance

Referrals increase your chances of interviewing at Alter Domus by 2x

Sign in to set job alerts for “Compliance Officer” roles. Legal and Compliance, Assistant Manager (40-50k) Section Head and Senior Process Optimisation Manager - Corporate Risk & Compliance VP, Compliance Officer – Asset Management Senior Regulatory Compliance Manager (Private Banking) Assistant Vice President - Data Governance and Compliance AVP, Enterprise & Financial Risk, Group Risk & Compliance Assistant Manager / Manager, Product and Partnership Management (Financial Services) Chief Underwriting Officer, Insurance (HK) Head of Institutional Sales – Digital Asset Derivatives – Hong Kong CFO Retail Banking & Wealth and Wholesale Finance (HK) Contract Officer, Onboarding KYC, AFC Ops (1-year contract) Compliance Officer, Financial Crime, Compliance AVP, Compliance (Transformation, Digital & Corporate Services) Senior Compliance Officer, General Compliance Internal Legal Compliance Officer (Hong Kong) Compliance Senior Specialist-Hong Kong SAR

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Compliance Officer, Financial Crime, Compliance

Join to apply for the Compliance Officer, Financial Crime, Compliance role at CLSA .

The Compliance Officer, Financial Crime will be part of the CSI’s Regional Financial Crime Compliance team, Legal and Compliance, reporting to the Regional Head of Financial Crime Compliance. The role involves maintaining a robust financial crime compliance framework, monitoring clients and transactions, and reporting irregularities or suspicions.

Key Responsibilities

• Assist the Regional Head of Financial Crime Compliance in advising management and teams on AML, KYC, and FCC requirements to facilitate client onboarding and business initiatives.
• Monitor regulatory changes and update CSI AML/CFT policies accordingly.
• Participate in projects to refine AML/FCC policies and integrate them into firm-wide controls.
• Monitor transactions for unusual activities, conduct reviews, and report to authorities as needed.
• Assist in risk assessments, remediation, and screenings of clients, vendors, and counterparties.
• Coordinate within departments to promote AML/FCC awareness and compliance culture.

Requirements

• Bachelor's degree, preferably in Law, Accounting, or related fields.
• Experience in financial institutions, AML compliance, and KYC processes.
• More experienced candidates may be considered for Assistant Manager, Financial Crime.
• Ability to multitask and meet deadlines under pressure.
• Knowledge of securities laws, operations, and analytical skills to assess risks.
• Proficiency in MS Office; knowledge of SAS is a plus.
• Strong communication skills in English and Chinese (Mandarin).
• Self-motivated, organized, and professional.

Additional Details

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Finance

This job is active and accepting applications.

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