155 Compliance Analyst jobs in Hong Kong

Join to apply for the Compliance Analyst role at Interactive Brokers

Join to apply for the Compliance Analyst role at Interactive Brokers

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

Company Overview

Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.

Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.

Responsibilities

Interactive Brokers is looking to hire a Compliance Analyst (Core Compliance) for the APAC region in Australia, Hong Kong and Singapore. This position will report regionally to the Compliance Manager.

The Main Responsibilities For This Role Include

• Supporting engagements with regulators and other financial services regulatory agencies;
• Assisting in the information gathering and drafting of written responses to regulatory enquiries, questionnaires, and consultations for IBKR’s APAC entities;
• Keeping abreast of new regulations and disseminating regulatory notices, circulars, and other regulatory developments to management, compliance teams within the APAC region and relevant stakeholders;
• Coordinating regulatory inspections, self-assessments and regulatory surveys for APAC entities to ensure timely and quality submissions;
• Implementing and monitoring the progress of remediation plans
  
  

• Must be a self-starter with strong analytical skills;
• Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment;
• Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
• Excellent English language oral and written communication skills. Proficiency in the Chinese language is an added advantage.
• Ability to work in a small team environment and collaboratively.
• Relevant experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
• A “can-do” attitude with a willingness to learn.
  
  

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits including medical, dental, specialist and inpatient
• Competitive package of Annual Leave
• Daily lunch ordered in-house with a fully stocked kitchen
• Modern offices with multi-monitor setups
• Great work-life balance
• Unique opportunity to gain exposure to global financial products, markets and clientele
• Opportunities for career progression and job scope expansion in a global company with a growing local presence
• Hybrid work arrangement role permitting

• Seniority level Entry level

• Employment type Full-time

• Job function Legal

Referrals increase your chances of interviewing at Interactive Brokers by 2x

Get notified about new Compliance Analyst jobs in Kwun Tong District, Hong Kong SAR .

Hong Kong, Hong Kong SAR HK$1,000,000 - HK$,000,000 1 week ago

Wan Chai District, Hong Kong SAR 2 weeks ago

Hong Kong, Hong Kong SAR $3 ,000 - 70,000 3 weeks ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

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Optima Partners is a global regulatory compliance advisory and consulting firm with offices in Hong Kong, Singapore, New York, London, Chicago, Los Angeles, San Francisco, and the UAE. We provide advisory and consulting services to hedge fund and private equity fund managers, broker-dealers, and investment banks. Our team serves as a trusted adviser to some of the world’s most prominent names in alternative investment management.

Position Summary

We are seeking a highly motivated and detail-oriented Compliance Analyst to join our Hong Kong office. This is an entry-level role designed for recent graduates or early-career professionals looking to build a career in financial compliance and regulation.

As part of a two-year hands-on training program, you will work alongside experienced consultants and gain exposure to a wide range of compliance topics across Hong Kong’s investment management industry, with opportunities to learn about global regulations (including SEC, CFTC, FCA) as they apply to our client base. You will be paired with a mentor, receive structured training, and have direct exposure to clients from day one.

This is a full-time, on-site role based in Hong Kong. Competitive compensation will be offered based on qualifications and experience.

Key Responsibilities

• Monitor expert network interactions and employee personal trading activity.
• Review and archive employee communications (email/chat) in accordance with SFC recordkeeping requirements.
• Maintain employee disclosure forms and assist clients with organizing regulatory books and records in line with Hong Kong Securities and Futures Commission (SFC) requirements.
• Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities.
• Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation tailored to SFC/HKMA regulations.
• Contribute to annual compliance reviews and mock SFC regulatory inspections.
• Assist with preparing and submitting licensing applications and notifications to the SFC for corporations and licensed representatives.
• Prepare and file required periodic regulatory submissions with the SFC (e.g., annual returns, notifications of changes).
• Support clients during SFC regulatory inspections, enquiries, and thematic reviews.

Requirements

• Bachelor’s degree from an accredited university (Finance, Law, Business, or related fields preferred).
• Legally authorised to work in Hong Kong.
• Excellent written and verbal communication skills in English; Cantonese and/or Mandarin proficiency is a plus.
• Strong organisational skills, with a high level of attention to detail.
• Analytical thinker with a proactive and solutions-oriented approach.
• Ability to manage multiple tasks and deadlines in a fast-paced environment.
• Strong interest in the investment management industry and financial regulation.

High-performing analysts may be promoted to Senior Analyst in less than a year, and to Associate ahead of the two-year mark, with progression based on merit and demonstrated capability.

Our Commitment

Optima Partners is committed to providing equal opportunities in employment. We do not discriminate based on gender, gender identity, race, religion, colour, nationality, ethnic origin, sexual orientation, marital status, age, disability, or any other protected characteristic.

• Seniority level Entry level

• Employment type Full-time

• Job function Analyst
• Industries Financial Services, Business Consulting and Services, and Law Practice

Referrals increase your chances of interviewing at Optima Partners by 2x

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

Wan Chai District, Hong Kong SAR 2 weeks ago

Wan Chai District, Hong Kong SAR 3 weeks ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Join to apply for the Compliance Analyst role at Interactive Brokers

Join to apply for the Compliance Analyst role at Interactive Brokers

Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.

Company Overview
Interactive Brokers Group, Inc. (Nasdaq: IBKR) is a global financial services company headquartered in Greenwich, CT, USA, with offices in over 15 countries. We have been at the forefront of financial innovation for over four decades, known for our cutting-edge technology and client commitment.
IBKR affiliates provide global electronic brokerage services around the clock on stocks, options, futures, currencies, bonds, and funds to clients in over 200 countries and territories. We serve individual investors and institutions, including financial advisors, hedge funds and introducing brokers. Our advanced technology, competitive pricing, and global market help our clients to make the most of their investments.
Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a part of a company that simplifies and enhances financial opportunities using state-of-the-art technology.
Responsibilities
Interactive Brokers is looking to hire a Compliance Analyst (Core Compliance) for the APAC region in Australia, Hong Kong and Singapore. This position will report regionally to the Compliance Manager.
The Main Responsibilities For This Role Include

• Supporting engagements with regulators and other financial services regulatory agencies;
• Assisting in the information gathering and drafting of written responses to regulatory enquiries, questionnaires, and consultations for IBKR’s APAC entities;
• Keeping abreast of new regulations and disseminating regulatory notices, circulars, and other regulatory developments to management, compliance teams within the APAC region and relevant stakeholders;
• Coordinating regulatory inspections, self-assessments and regulatory surveys for APAC entities to ensure timely and quality submissions;
• Implementing and monitoring the progress of remediation plans
  

• Must be a self-starter with strong analytical skills;
• Strong organizational skills with the ability to prioritize and work independently in a dynamic and fast-paced working environment;
• Comfort with computers and technology, and understanding of how technology is applied to business and regulatory problems.
• Excellent English language oral and written communication skills. Proficiency in the Chinese language is an added advantage.
• Ability to work in a small team environment and collaboratively.
• Relevant experience and track record at a financial services regulatory agency, exchange or licensed financial services firm;
• A “can-do” attitude with a willingness to learn.
  

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits including medical, dental, specialist and inpatient
• Competitive package of Annual Leave
• Daily lunch ordered in-house with a fully stocked kitchen
• Modern offices with multi-monitor setups
• Great work-life balance
• Unique opportunity to gain exposure to global financial products, markets and clientele
• Opportunities for career progression and job scope expansion in a global company with a growing local presence
• Hybrid work arrangement role permitting

• Seniority level Entry level

• Employment type Full-time

• Job function Legal

Referrals increase your chances of interviewing at Interactive Brokers by 2x

Get notified about new Compliance Analyst jobs in Kwun Tong District, Hong Kong SAR .

Hong Kong, Hong Kong SAR HK$1,000,000 - HK$,000,000 1 week ago

Wan Chai District, Hong Kong SAR 2 weeks ago

Hong Kong, Hong Kong SAR $3 ,000 - 70,000 3 weeks ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Join to apply for the Compliance Analyst - Global Platform role at Michael Page .

Get AI-powered advice on this job and more exclusive features.

The hiring firm is a well-established international platform with a robust global compliance team.

As a Compliance Analyst, your main responsibilities will include:

• Conducting detailed conflict checks to identify and mitigate potential conflicts of interest.
• Collaborating with legal teams to resolve conflict-related issues efficiently.
• Maintaining and updating conflict management databases with accuracy and confidentiality.
• Reviewing client information and ensuring compliance with regulatory and internal policies.
• Conducting risk assessments to ensure compliance.
• Providing timely and clear communication to stakeholders on conflict findings.
• Assisting in the development of conflict management processes and best practices.
• Generating reports and summaries for management review.
• Staying updated on industry trends and regulatory changes relevant to the role.

A successful Compliance Analyst should have:

• A degree in Law, Business, or a related field.
• Strong analytical and problem-solving skills.
• Attention to detail and the ability to work with confidential information.
• Knowledge of compliance and regulatory frameworks in the professional services industry.
• Effective communication skills and the ability to collaborate with diverse teams.
• Proficiency in conflict management software and tools is a plus.
• A proactive mindset and a commitment to continuous learning.

This is a chance to join a global team and gain diverse compliance exposure.

Soraya Tennent

Quote job ref: JN-082025-6806694

Join to apply for the Compliance Analyst - Global Platform role at Michael Page .

Get AI-powered advice on this job and more exclusive features.

The hiring firm is a well-established international platform with a robust global compliance team.

As a Compliance Analyst, your main responsibilities will include:

• Conducting detailed conflict checks to identify and mitigate potential conflicts of interest.
• Collaborating with legal teams to resolve conflict-related issues efficiently.
• Maintaining and updating conflict management databases with accuracy and confidentiality.
• Reviewing client information and ensuring compliance with regulatory and internal policies.
• Conducting risk assessments to ensure compliance.
• Providing timely and clear communication to stakeholders on conflict findings.
• Assisting in the development of conflict management processes and best practices.
• Generating reports and summaries for management review.
• Staying updated on industry trends and regulatory changes relevant to the role.

A successful Compliance Analyst should have:

• A degree in Law, Business, or a related field.
• Strong analytical and problem-solving skills.
• Attention to detail and the ability to work with confidential information.
• Knowledge of compliance and regulatory frameworks in the professional services industry.
• Effective communication skills and the ability to collaborate with diverse teams.
• Proficiency in conflict management software and tools is a plus.
• A proactive mindset and a commitment to continuous learning.

This is a chance to join a global team and gain diverse compliance exposure.

Soraya Tennent

Quote job ref: JN-082025-6806694

Direct message the job poster from Second Talent

An international law firm is seeking an AML Risk and Compliance Analyst to support its Asia-based risk and compliance team. The role, under the guidance of senior AML management, focuses on ensuring Anti-Money Laundering (AML) compliance across the firm’s Asia offices, with additional coordination with global offices.

Responsibilities

• Complete AML processes for clients, prioritizing Singapore, Hong Kong, Beijing, and Shanghai offices.
• Conduct Client Due Diligence (CDD), including PEP and sanctions screening (World-Check), with emphasis on Chinese names.
• Liaise with partners and clients to collect required compliance information.
• Maintain AML databases, update records, and ensure timely follow-ups.
• Assist in drafting and maintaining AML policies, procedures, and internal documentation.
• Monitor regulatory developments in Singapore, Hong Kong, and China .
• Support ongoing monitoring, file reviews, and periodic checks.
• Provide training support for new joiners on AML policies.
• Participate in AML team meetings and provide cover for colleagues when needed.
• Escalate compliance concerns to AML management promptly.

Requirements

• Degree in any related field of finance or equal experience
• 1-3 years Experience in AML Processes and CDD
• Detail-oriented, organized, and able to manage multiple tasks.
• Effective communication skills and teamwork across regions.
• Must be able to read/write Chinese

• Seniority level Associate

• Employment type Full-time

• Job function Legal, Finance, and Analyst
• Industries Human Resources Services and Legal Services

Referrals increase your chances of interviewing at Second Talent by 2x

Get notified about new Compliance Analyst jobs in Singapore, Singapore .

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Direct message the job poster from Second Talent

An international law firm is seeking an AML Risk and Compliance Analyst to support its Asia-based risk and compliance team. The role, under the guidance of senior AML management, focuses on ensuring Anti-Money Laundering (AML) compliance across the firm’s Asia offices, with additional coordination with global offices.

Responsibilities

• Complete AML processes for clients, prioritizing Singapore, Hong Kong, Beijing, and Shanghai offices.
• Conduct Client Due Diligence (CDD), including PEP and sanctions screening (World-Check), with emphasis on Chinese names.
• Liaise with partners and clients to collect required compliance information.
• Maintain AML databases, update records, and ensure timely follow-ups.
• Assist in drafting and maintaining AML policies, procedures, and internal documentation.
• Monitor regulatory developments in Singapore, Hong Kong, and China .
• Support ongoing monitoring, file reviews, and periodic checks.
• Provide training support for new joiners on AML policies.
• Participate in AML team meetings and provide cover for colleagues when needed.
• Escalate compliance concerns to AML management promptly.

Requirements

• Degree in any related field of finance or equal experience
• 1-3 years Experience in AML Processes and CDD
• Detail-oriented, organized, and able to manage multiple tasks.
• Effective communication skills and teamwork across regions.
• Must be able to read/write Chinese

• Seniority level Associate

• Employment type Full-time

• Job function Legal, Finance, and Analyst
• Industries Human Resources Services and Legal Services

Referrals increase your chances of interviewing at Second Talent by 2x

Get notified about new Compliance Analyst jobs in Singapore, Singapore .

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Join to apply for the Analyst, Compliance Consulting role at Kroll

Join to apply for the Analyst, Compliance Consulting role at Kroll

Get AI-powered advice on this job and more exclusive features.

Kroll’s Compliance Consulting practice assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape. As an Analyst you will embody drive, embrace change and take risks. You will be innovative and solve problems in our Compliance Consulting business.

Day-to-day Responsibilities

• Managing a portfolio of clients regulated by the SFC and other global regulators
• Drafting compliance manuals and other compliance documentation for clients
• Establishing and maintaining the compliance infrastructure for clients
• Undertaking periodic compliance monitoring reviews at client premises
• Prepare and refine audit procedures for the conduct of audit engagements/projects across APAC
• Execute audit procedures to assess, design and operating effectiveness of internal controls
• Prepare written audit reports by drafting audit issues and recommendations on the review results of audit engagements/projects
• Drafting and/or reviewing regulatory reports and returns
  
  

• Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
• Good understanding of the financial services industry i.e. asset management and broking sectors
• Strong English oral and written communication skills
• Risk tolerant and comfortable in a rapidly changing environment
• Legal or audit background would be useful
• Excellent written and verbal communication skills that help represent diverse communities
  
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal
• Industries Business Consulting and Services

Referrals increase your chances of interviewing at Kroll by 2x

Hong Kong, Hong Kong SAR HK$1,000,000.00-HK$,000,000.00 1 week ago

Hong Kong, Hong Kong SAR $36,00 .00- 70,000.00 1 month ago

Wan Chai District, Hong Kong SAR 2 days ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Join to apply for the Analyst, Compliance Consulting role at Kroll

Join to apply for the Analyst, Compliance Consulting role at Kroll

Get AI-powered advice on this job and more exclusive features.

Kroll’s Compliance Consulting practice assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape. As an Analyst you will embody drive, embrace change and take risks. You will be innovative and solve problems in our Compliance Consulting business.
Day-to-day Responsibilities

• Managing a portfolio of clients regulated by the SFC and other global regulators
• Drafting compliance manuals and other compliance documentation for clients
• Establishing and maintaining the compliance infrastructure for clients
• Undertaking periodic compliance monitoring reviews at client premises
• Prepare and refine audit procedures for the conduct of audit engagements/projects across APAC
• Execute audit procedures to assess, design and operating effectiveness of internal controls
• Prepare written audit reports by drafting audit issues and recommendations on the review results of audit engagements/projects
• Drafting and/or reviewing regulatory reports and returns
  

• Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
• Good understanding of the financial services industry i.e. asset management and broking sectors
• Strong English oral and written communication skills
• Risk tolerant and comfortable in a rapidly changing environment
• Legal or audit background would be useful
• Excellent written and verbal communication skills that help represent diverse communities
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal
• Industries Business Consulting and Services

Referrals increase your chances of interviewing at Kroll by 2x

Hong Kong, Hong Kong SAR HK$1,000,000.00-HK$,000,000.00 1 week ago

Hong Kong, Hong Kong SAR $36,00 .00- 70,000.00 1 month ago

Wan Chai District, Hong Kong SAR 2 days ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.