What Jobs are available for Compliance Management in Hong Kong?

Responsibilities

• Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management
• Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
• Assist to formulate the compliance program and conduct the compliance review
• Prepare compliance training materials
• Assist in end-to-end investigation on Clients' Complaints and self-escalated misconduct including the investigation report
• Assist in other compliance related tasks as assigned

Qualifications

• University degree
• At least 2 years or relevant experience in SFC licensed corporation
• Familiar with the SFC rules and regulations and industry practices
• Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
• Fluent in Mandarin, English and Cantonese

Responsibilities

• Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management
• Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
• Assist to formulate the compliance program and conduct the compliance review
• Prepare compliance training materials
• Assist in end-to-end investigation on Clients' Complaints and self-escalated misconduct including the investigation report
• Assist in other compliance related tasks as assigned

Qualifications

• University degree
• At least 2 years or relevant experience in SFC licensed corporation
• Familiar with the SFC rules and regulations and industry practices
• Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
• Fluent in Mandarin, English and Cantonese

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PERSOLKELLY Hong Kong Limited: Employment Agency Licence No. 79017

PERSOL Hong Kong: Employment Agency Licence No. 79006

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

PERSOLKELLY Hong Kong Limited: Employment Agency Licence No. 79017

PERSOL Hong Kong: Employment Agency Licence No. 79006

To apply for this position, please send your full résumé to us by clicking Apply Now in word format indicating the reference number and 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

Contract

Job Description
About Our Roles in Compliance
Compliance prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes this through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

This position sits in divisional compliance and is focused on Asset Management (AM) business within Asset and Wealth Management. AM delivers innovative investment solutions through a global, multi-product platform that offers clients the advantages that come with working with a large firm, while maintaining the benefits of a boutique. AM's clients are global, with complex challenges that require deep investment expertise and dedicated client service to help them achieve their unique investment goals. AM serves a diverse range of clients – individuals, financial advisors, and institutions – who rely on AM to help them understand markets, deliver innovative investment solutions and plan for their future.

AM Compliance is seeking an Analyst or Associate to join the AM Compliance team in Hong Kong. The individual will also be part of the broader AM Compliance team, which provides daily advice to AM's various business teams on portfolio management, investing, fundraising, various regulations applicable to Asset Management business, reputational risk, and other various regulatory requirements. The individual will interact with different business lines and control functions, including AM's Portfolio Management teams, Sales/Marketing, Finance, Operations, Engineering, Legal, and Internal Audit. The ideal candidate will have a strong interest in understanding AM's business model and operational processes.

Job Responsibilities

• Provide advice to the various Asset Management business teams in their day-to-day business operations.
• Keep up-to-date with relevant regulatory/rule changes and driving the implementation of such regulatory/rule changes.
• Assist with regulatory reviews, inspections, investigations, or regulatory inquiries.
• Ensure filing of regulatory documents timely and accurately
• Identify and advise mitigations for regulatory and/or reputational risk issues.
• Investigate and resolve issues from the day-to-day business operations, including working with other groups in the firm.
• Perform Compliance monitoring/investigations, as required by regulation or internal policies and procedures.
• Perform Compliance review on marketing materials or other documents, as required by regulation or internal policies and procedures.
• Handle complaints, maintain proper internal record and report to regulators as required.
• Conduct Compliance trainings
• Develop and maintain compliance policies and procedures, outlining firm policies, regulations and best practices.
• Participate in the review and evaluation of new instruments and activities to identify compliance issues and control needs.
• Advise and coordinate with Technology for control developments/enhancements.
• Participate in global projects as required.

Qualifications

• Experience in Compliance, Legal or other risk control functions, preferably in asset management
• Risk and control focused individual with sound judgment
• Takes ownership of tasks/projects and is detail oriented
• Ability to work independently while at the same time be a proactive team player who enjoys working collaboratively
• Possess effective interpersonal and communication skills, with the ability to resolve issues, build consensus among groups of diverse stakeholders
• Ability to multi-task and work well under pressure and have a positive, hands-on, "can do" attitude and adapt to changes
• Fluency in Cantonese is required. Additionally, fluency in Mandarin would be a significant plus, as it would help support our growing business activities and coverage in Greater China.
• University degree holder

About Goldman Sachs
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more:

The Goldman Sachs Group, Inc., 2025. All rights reserved.

Lead regulatory compliance at a fast-growing fintech with regional licensing across Asia.

Your new company

This opportunity is with a fast-growing fintech firm headquartered in Asia, offering innovative payment and financial solutions to businesses across the region. The company is expanding its footprint and has obtained key regulatory approvals, including licensing for virtual asset trading and payment services. With a strong focus on compliance and governance, the organization is committed to building a secure and transparent financial ecosystem.

Your new role

As the Regulatory Compliance VP, you will:

• Oversee regulatory compliance across multiple jurisdictions, including Hong Kong and Singapore.
• Manage licensing processes and regulatory relationships, particularly with SFC and VATP-related frameworks.
• Develop and maintain internal compliance policies and procedures aligned with evolving regulatory requirements.
• Lead internal audits, gap analyses, and remediation efforts.
• Support product development and business expansion from a compliance perspective.

What you'll need to succeed

• Proven experience in regulatory compliance within fintech, virtual asset platforms, or licensed financial institutions.
• Strong understanding of SFC licensing, VATP regulations, and regional compliance frameworks.
• Familiarity with AML, KYC, and financial crime prevention standards.
• Excellent communication and stakeholder management skills.
• Fluency in English; Cantonese or Mandarin is a plus.

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.

Bank of Singapore opens doors to new opportunities.

At Bank of Singapore, we are constantly on the lookout for exceptional individuals to join our team. We promote a culture of openness, teamwork and fairness. Most importantly, we invest in our people through our programmes that develop them on both professional and personal levels. Besides attractive remuneration packages, we offer non-financial benefits and opportunities to develop your potential within OCBC Group's global network of subsidiaries and offices. If you have passion, drive and the will to succeed, rise to the challenge today

Main Duties

• Handle staff dealing issues including preparation of consent letter sent to securities brokers of staff, in particular with expected increase in front office. This task is important in accordance with HK SFC Code of Conduct requirements
• Provide compliance briefing to new joiners so as to ensure new joiners adapt to BOS and regulatory requirements as well as bank culture
• Handle staff registration of licensed staff with HKMA so that front office can carry out regulated activities and account opening asap
• Handle various staff declarations such as external business and shareholding declarations, staff annual declaration checking and filing so that potential conflict of interests can be properly monitored in accordance with Group's and regulatory standards
• Review and approve Continuous Professional Training/Ongoing Professional Training hours for front office in order to maintain their licenses with HKMA/SFC
• Provide support to handle company secretarial tasks (e.g. filing of change of BOS directors and their particulars to HK SFC and Companies Registrars etc) of BOS HK
• Provide regulatory compliance advice and support to management and staff of HK Branch
• Provide support to the existing general compliance and product compliance sub teams
• Assist in completing regulatory submission, surveys, offsite reviews and ad hoc requests (both HKMA and SFC)
• Assist in providing regulatory compliance related support in GA audit
• Provide all necessary support to head office RC when needed

Competence Requirements

• Minimum of 3-5 years' industry experience
• Holds a bachelor's degree, or equivalent
• Private bank or brokerage experience from advisory is desired
• Has the ability to work well within a matrix organization
• The ability to drill down to root cause, develop solutions, and lead process change
• Preferable for candidates with HKIB Enhanced Competency Framework (ECF) professional qualification

Our client is seeking a highly motivated and experienced professional in the Regulatory Compliance and Inspection function. This role is ideal for someone with a strong compliance background, particularly in the securities or brokerage industry, and hands-on experience in enforcement, inspections, and trading rules. The successful candidate will be responsible for ensuring regulatory adherence, managing inspections, and promoting a culture of ethical conduct and compliance through training and market education.

Key Responsibilities

• Lead the development, implementation, and oversight of the company's compliance and market conduct framework.
• Ensure full compliance with all applicable laws, regulations, and internal policies, particularly those governing the secondary market.
• Conduct inspections and compliance risk assessments and manage regulatory inquiries and enforcement-related matters.
• Oversee and enforce rules related to trading activities, ensuring alignment with market conduct standards.
• Act as the primary liaison with regulatory bodies, handling inspections and regulatory reviews.
• Provide expert guidance to business units on compliance issues and regulatory developments.
• Handle compliance cases independently, from investigation to resolution.
• Monitor and report on compliance breaches, recommending and tracking corrective actions.

Qualifications and Skills

• Must be CPA certified.
• Minimum of 3 – 5 years of experience in compliance, audit, or regulatory roles, preferably within the securities or brokerage industry.
• Solid understanding of regulatory frameworks, market conduct standards, and secondary market enforcement.
• Experience in HKEX, SCO, SFC guidelines.
• Proven experience in handling inspections, case management, and trading rules enforcement.
• Hands-on experience in data analysis using Tableau or similar visualization platforms.
• Strong communication skills in Cantonese, English, and Mandarin

Please visit Adecco website with the below link for application:

Please note that only shortlisted candidates will be notified.  All information gathered will be treated in strictly confidential and solely used for recruitment purpose.

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 is a must
• 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.

An exciting opportunity with a leading financial services firm, and they are seeking a regulatory compliance candidate to join their team.

Job Responsibilities:

• Assist in the daily operations of business compliance activities.
• Assist in handling license applications.
• Contribute to the development and enhancement of the company's compliance management system, including improving compliance data, updating reports, and disseminating information.
• Perform Compliance checking, monitoring and review.
• Assist in formulating and maintaining Compliance policies and procedures.
• Facilitate communication and coordination across different departments.

Qualifications:

• Bachelor's degree or higher with at least 2 years of relevant work experience.
• Basic knowledge of the Hong Kong financial market.
• Strong logical thinking skills, along with excellent analytical and processing abilities; able to handle pressure effectively.
• Proficient in Microsoft Office applications, especially Word, Excel, and PowerPoint.
• Bilingual in Chinese (Mandarin) and English.