What Jobs are available for Compliance Manager in Hong Kong?

Key Areas of Responsibilities

• Conduct monitoring on various unfair trading, AML related issues, etc
• Review and/or prepare regulatory reports to FSS, KRX, KOFIA & KOFIU and other management reports
• Support the compliance head in handling regulatory and internal investigations/audits & department tasks
• Compile responses to/from regulatory queries/investigations
• Develop, update & enforce internal policies and procedures in compliance with local regulations
• Arrange meetings and prepare minutes (e.g. for BOD, etc)
• Update & maintain employee for the registration as a professional at KOFIA
• Review the staff dealing related process and collecting documents
• Deliver targeted compliance training
• Perform client onboarding – CDD, OCDD & EDD

Requirements

• Degree holder with minimum 8 years of experience in Compliance/Legal within Securities brokerage industries
• Possesses high standards of professional ethics, integrity and takes ownership of the work
• Knowledge in Korean regulations relating to Capital Market
• Ability to analyse issues with new products and regulatory requirements
• Self-motivated, diligent‎, work under pressure, manage deadlines and multitask
• Have great attention for details and be a good team player
• Excellent oral and written communication skills in Korean and English
• Excellent computer skills such as MS Excel, Word & Powerpoint

Responsibilities:

• Develop and implement compliance policies and procedures.
• Monitor and review IPO-related activities to ensure regulatory compliance.
• Conduct risk assessments and compliance audits.
• Collaborate with internal stakeholders to address compliance issues and provide training.

Requirements:

• Bachelor's degree in Law, Finance, Accounting, or a related field;
• 5–10 years of compliance experience in Hong Kong licensed institutions, with at least 3 years focused on IPOs. In-depth knowledge of key regulatory frameworks, including the SFC Corporate Finance Adviser Code of Conduct.
• Strong stress tolerance and cross-departmental collaboration skills.
• Proficiency in both written and spoken English and Chinese (fluency in Mandarin is a must).

Responsibilities:

• Develop and implement compliance policy and review program covering our equities and futures businesses with particular emphasis on the compliance with the relevant rules and regulations in Hong Kong;
• Provide compliance guidance, conduct training and make recommendations for improvement areas to minimize compliance risk;
• Advise business units on relevant compliance related matters such as reviewing new products and marketing materials;
• Participate in new product development and undertake projects when necessary;
• Perform trade surveillance and other regular reviews to identify potential compliance or internal control issues;
• Liaise with regulators, auditors, business and functional units on compliance issues;
• To perform ad hoc projects as required.

Requirements:

• Bachelor or Master Degree holder in Law or other related disciplines;
• Minimum 5 years of related working experience in financial industry holding SFC type 1, 2, 4, 5 regulated activities, highly prefer in sizable Chinese securities firm / SFC would be advantages;
• Familiar with Securities and Futures Ordinance and applicable statutory and regulatory requirements;
• Good advisory and communication skills and ability to work under minimum supervision;
• Good command of written and spoken English and Chinese, fluency in Putonghua.

Attractive remuneration will be offered to the right candidate.  Interested parties please email your full resume with present & expected salary and date of availability to hrm or via "Apply Now".

Personal data collected would be used for recruitment purpose only.

Responsibilities:

• Review of all policies and procedures to ensure them complying with the regulatory requirements, formulate and supervise the implementation of compliance review plans, conduct sample transactions checking, particularly relating to insurance and investment activities
• Advise on new product launch or revamp, relevant sale and marketing materials, training materials
• Advise business and operation units on internal control requirements
• Handle inquiries from regulatory bodies and compile periodical reports for management, steer for ad hoc compliance project or investigation when required

Requirements:

• Bachelor degree or above in Accounting, Laws or related disciplines
• Minimum 5 years of working experience in compliance of banking industry
• Well-verse in HKMA, SFC and other banking related legislations and guidelines
• Hands-on exposure of working and liaison with regulatory bodies
• Excellent prioritization, organization and people skills
• Good command of written and spoken English and Chinese (Cantonese & Mandarin)

We offer competitive packages and promising career opportunities to the right candidates. Please send your full resume with current salary, expected salary and the date of availability to The Human Resources Department, Chiyu Banking Corporation Ltd, 1/F, No. 100 Queen's Road Central, Hong Kong, or fax to or by clicking Apply Now.

Information provided will be treated in strict confidence and only be used for recruitment purposes. All personal data of unsuccessful applicants will be destroyed after the recruitment exercise. A copy of Personal Information Collection Statement is available upon request.

1. End-to-End SFC License Management

◦ Lead the application, renewal, and amendment of SFC licenses for the company and its employees (covering core license types such as Type 1/4/9), and maintain the accuracy of information in the SFC PORTAL system;

◦ Manage employees' Continuing Professional Training (CPT) records to ensure all staff meet the SFC's training hour requirements and maintain the validity of licenses.

2. Compliance System Development and Maintenance

◦ Formulate and update compliance policies and procedure manuals to ensure compliance with the Securities and Futures Ordinance, Anti-Money Laundering Ordinance (AMLO), and other regulatory requirements of the SFC and Hong Kong;

◦ Interpret the latest regulatory developments from the SFC and HKMA (e.g., new regulations on virtual assets and ESG compliance), assess their impact on business operations, and adjust internal processes accordingly.

3. Daily Compliance Monitoring and Risk Control

◦ Conduct daily checks on the transaction monitoring system to identify risks such as abnormal transactions and unauthorized operations in employees' accounts, and prepare risk control reports;

◦ Implement customer onboarding due diligence (KYC), blacklist screening, and Suspicious Transaction Report (STR) submission to ensure compliance with AML requirements;

◦ Review business contracts (e.g., for IPOs and mergers & acquisitions) and marketing materials to mitigate compliance risks.

4. Regulatory Communication and Reporting

◦ Serve as the core contact for SFC interactions, respond to regulatory inquiries, prepare materials for on-site inspections (e.g., customer files and transaction records), and cooperate with regulatory audits;

◦ Submit regulatory documents such as financial reports and large-value transaction reports on time to maintain a good regulatory relationship.

5. Compliance Training and Cross-Departmental Support

◦ Regularly conduct specialized training for business teams on SFC rules, AML operations, and other relevant topics;

◦ Address compliance inquiries from business departments, assist in designing compliance solutions for new businesses and products, and collaborate with the IT department to optimize the compliance monitoring system.

1. Education and Major

◦ Bachelor's degree or above, with priority given to majors in Law, Finance, Accounting, or related fields; priority will also be given to candidates holding relevant legal qualifications.

2. Work Experience

◦ 2-5 years of compliance experience in Hong Kong financial institutions, with familiarity in SFC license management, regulatory reporting, and on-site inspection processes;

◦ Priority given to candidates with compliance experience in the securities, asset management, or private banking sectors; additional points for candidates with virtual asset compliance experience.

3. Professional Competence and Certifications

◦ Proficiency in SFC regulatory rules, the Securities and Futures Ordinance, and AMLO anti-money laundering requirements; understanding of compliance key points for various types of SFC licenses;

◦ Priority given to candidates holding certifications such as HKSI Paper 1/7/8, ACAMS (Certified Anti-Money Laundering Specialist), AAMLP, or CFA;

◦ Proficiency in operating compliance systems such as SFC PORTAL and World-Check, and ability to write compliance reports in both Chinese and English.

4. Soft Skills

◦ Possess keen risk identification ability, problem-solving skills, and strict attention to details;

◦ Fluent in English, Cantonese (listening, speaking, reading, and writing), and proficient in Mandarin communication, with the ability to effectively engage with internal and external stakeholders.

Animoca Brands Corporation Limited (ACN: is a Web3 leader that leverages tokenization and blockchain to deliver digital property rights to consumers, helping to establish the open metaverse and its associated network effects. Animoca Brands realizes its mission via three integrated business pillars: operating Web3 businesses to advance blockchain adoption with native projects such as Moca Network, Anichess, The Sandbox, Open Campus, NEOM Web3 initiatives, and a regulated stablecoin project in partnership with Standard Chartered and HKT; providing digital asset advisory services including tokenomics advisory, liquidity provisioning, and institutional research to help external Web3 projects grow; and investment management, with a portfolio of investments in over 540 companies including industry leaders Pudgy Penguins, Yuga Labs, Axie Infinity, Polygon, Consensys, Magic Eden, OpenSea, Dapper Labs, YGG, and many others.

• Developing and implementing compliance policies and procedures that ensure the organization complies with legal and regulatory requirements.
• Conducting KYC / AML risk assessments and developing strategies and plans to mitigate those risks.
• Monitoring compliance with laws, regulations, and industry standards, and identifies areas of non-compliance.
• Providing training and education to employees on compliance-related issues, such as anti-bribery, anti-corruption, and data privacy.
• Investigating compliance related incidents, complaints, or concerns, and takes appropriate action to address them.
• Reporting to senior management and regulatory bodies on the organization's compliance status.
• Maintaining records of compliance activities, including audits and investigations, to ensure that the organization is meeting its regulatory requirements.
• Developing and maintaining relationships with regulatory bodies and auditors to ensure that the organization is up-to-date on regulatory changes and compliance expectations.

• Bachelor's degree in Law, Business Administration or relevant field.
• ACAMS, ICA or CFE certification preferred
• Minimum 5 years experience in AML/KYC or general compliance experience within a Bank or relevant FinTech company
• Knowledge of business operations of customers such as Money Services Businesses, Casinos, NGOs, cryptocurrency-related businesses and other higher-risk entities
• Strong knowledge of industry processes and regulations.
• Outstanding communication and interpersonal abilities.
• An analytical mindset with excellent organizational skills.

The Perks of Joining Animoca Brands:

A Vibrant and Diverse Workplace: Immerse yourself in a dynamic, multi-cultural environment with colleagues from over 15 nationalities (and growing). We celebrate diversity and foster a global perspective.

Incentives in the Web3 Space: Be a part of the future and align your success with the growth of our innovative projects.

Direct Impact and Flat Structure: Your voice matters. We operate with a flat organizational structure, ensuring your ideas are heard and implemented quickly.

Comfortable and Creative Atmosphere: Embrace a relaxed and productive work environment with casual attire.

Opportunities Across the Ecosystem: Expand your horizons by collaborating with various subsidiary brands within the Animoca Brands network, gaining exposure to a wide range of projects and technologies.

Comprehensive Benefits Package: We care about your well-being. Enjoy a comprehensive benefits package, including medical, life, and transportation allowances.

Personal Information Collection Statement:

Personal data provided by the Job Applicant will be used strictly in accordance with the Employer's Personal Data Policies, a copy of which will be provided immediately upon his/her request. All classified data will be treated confidentially within the Human Resources & Administration Department. Personal data of unsuccessful applicants may be retained for a period of up to 3 months.

About Arrowpoint

Arrowpoint is an Asia-focused multi-strategy hedge fund firm headquartered in Singapore, founded by former Millennium Management Asia co-CEO Jonathan Xiong. The fund launched in July 2024 with more than $1 billion—making it one of the largest hedge fund launches in Asia's history. Backed by prominent investors including Blackstone, the Canada Pension Plan Investment Board, and Temasek Holdings, we operate with portfolio managers across Singapore and Hong Kong, integrating diverse strategies such as Equities, Fixed Income, and Commodities. As we continue to grow, we are seeking driven individuals to join our team and contribute to our mission.

Read about us here:

Bloomberg | Hedge Fund Arrowpoint Grows to $1.1 Billion After November Gain

Bloomberg | Hedge Fund Arrowpoint Lures CPPIB, Temasek Unit as Anchors

Location of the role: Singapore or Hong Kong

About the role

We are a dynamic and fast-growing multi-strategy hedge fund with global operations, currently expanding our compliance function. With a lean and collaborative team structure, we offer significant opportunities for personal and professional growth. We are seeking a highly motivated and experienced
Compliance Manager / Compliance Officer
to play a key role in ensuring the firm's adherence to global regulatory standards and trade compliance obligations.

Reporting to the Chief Compliance Officer, you will be responsible for overseeing key aspects of our regulatory and trade compliance programs across multiple jurisdictions. You will work closely with investment professionals, operations, professional advisers, and regulators to maintain a robust compliance framework that supports the firm's growth while managing risk effectively.

This is a hands-on role for someone who thrives in a fast-paced, entrepreneurial environment and is eager to grow with the business.

Key Responsibilities

• Implement and maintain the firm's global compliance policies and procedures.
• Monitor and interpret regulatory developments across key jurisdictions (e.g., Singapore, Hong Kong, US, EU, etc).
• Oversee trade surveillance and post-trade monitoring to ensure compliance with regulatory and internal policies.
• Conduct compliance reviews, testing, and monitoring to assess the effectiveness of controls.
• Provide compliance training to front office and operational staff.
• Collaborate with investment and trading teams to provide real-time trade compliance support.
• Assist in regulatory filings and reporting across the relevant jurisdictions.
• Participate in new product and market initiatives to assess compliance implications.
• Contribute to strategic initiatives, helping to shape the future of the compliance function.

Qualifications

• 7–10+ years of relevant compliance experience at a hedge fund, asset manager, or regulatory agency.
• Proven experience in trade compliance and regulatory compliance.
• Strong understanding of MAS, SFC, SEC, CFTC, NFA, FCA, and other international regulatory regimes.
• International experience or exposure to cross-border regulatory issues is highly desirable.
• Law degree (JD or equivalent) preferred; other relevant certifications (e.g., CFA, Series 7/24, ICA) a plus.
• Strong communication skills and the ability to interact confidently with senior stakeholders.
• Proactive, detail-oriented, and comfortable taking ownership in a fast-moving environment.
• High level of integrity, sound judgment, and strong work ethic.

My client is one Cross-Border payment company which is actively expanding in HK.

1.Design, implement and enhance the Company's AML/CFT Systems;

2.Manage the Compliance Team in Hong Kong Office;

3.Policies and procedures updating;

1. Planning and execution of internal and external audit activities;

2. Risk identification and mitigation;

3. Co-ordinate and chair Compliance Committee Meetings to review major risk issues and mitigation measures, if applicable;

4. Ensure AML/CFT staff training is adequate, appropriate and effective;

5. Conduct risk assessment for new product, new process or technology and for the Company according to AMLO Guidelines

Requirements:

1. Full time undergraduate degree or above, majoring in finance, law, economics, auditing or related fields;

2. Have more than 3 years of experience in AML compliance and risk control;

3. Work experience in cross-border payment companies, banks, and other financial institutions is preferred;

4. Proactive, rigorous and meticulous in work, responsible, strong in learning ability, possessing good teamwork spirit and communication skills

About Our Client:
Our client is a leading hedge fund with a strong presence across Asia Pacific, known for its sophisticated investment strategies and commitment to regulatory excellence. As part of their continued growth, they are seeking a highly capable
Compliance Manager
to oversee regulatory and investment compliance across multiple jurisdictions.

Key Responsibilities:

• Regulatory Compliance:

• Ensure full compliance with regulatory requirements under
  SFC (Hong Kong)
  ,
  AMAC (China)
  , and
  SEC (U.S.)
  .

• Act as the primary liaison with regulators and external counsel for licensing, filings, inspections, and audits.
• Monitor regulatory developments and assess implications for the business.

• Investment Compliance:

• Manage pre- and post-trade compliance using
  Bloomberg AIMS
  and
  Enfusion
  platforms.

• Implement and maintain investment guidelines and restrictions across portfolios.
• Work closely with Portfolio Managers and Operations to resolve breaches and ensure timely remediation.

• Policy & Controls:

• Develop and maintain internal compliance policies and procedures.

• Conduct periodic reviews and risk assessments to ensure robust control frameworks.
• Deliver compliance training and support to cross-functional teams.

Qualifications:

• Minimum 5 years of experience in a compliance role within asset management or hedge fund industry.
• Strong working knowledge of SFC, AMAC, and SEC regulatory frameworks.
• Hands-on experience with Bloomberg AIMS and Enfusion for investment compliance.
• Excellent analytical, communication, and organizational skills.
• Ability to work independently and manage multiple priorities in a fast-paced environment.

Preferred:

• Legal or finance background (JD, LLB, CPA, CFA, etc.).
• Mandarin proficiency is a plus but not required.

What Our Client Offers:

• Competitive compensation and performance-based incentives.
• Collaborative and entrepreneurial work culture.
• Exposure to cross-border investment strategies and regulatory regimes.