218 Compliance Manager jobs in Hong Kong

Chiyu Banking Corporation Limited has been a licensed bank since 1947. Based in Hong Kong, we aim to provide comprehensive cross-border banking and financial services to customers in Hong Kong, mainland China, and overseas Chinese communities. Leveraging our Hong Kong and Fujian business platforms, we uphold core values of "Sincerity, Flexibility, Tailor-made Service, and Professionalism" to deliver premium services that help grow our customers' wealth, create value, and generate returns for stakeholders and staff.

We value our employees as our most important asset and offer stimulating careers that foster personal growth. We invite applications for the following position:

• Review policies and procedures to ensure compliance with regulatory requirements; develop and oversee compliance review plans; conduct sample transaction checks, especially related to insurance and investment activities.
• Advise on new product launches or revamps, including marketing and sales materials, and training resources.
• Guide business and operations units on internal control requirements.
• Handle inquiries from regulatory bodies and prepare periodic reports for management; lead ad hoc compliance projects or investigations as needed.

• Bachelor's degree or higher in Accounting, Law, or related disciplines.
• At least 5 years of compliance experience in the banking industry.
• In-depth knowledge of HKMA, SFC, and other banking regulations and guidelines.
• Experience working with regulatory authorities.
• Strong prioritization, organizational, and interpersonal skills.
• Proficiency in written and spoken English and Chinese (Cantonese & Mandarin).

We offer competitive packages and promising career opportunities. Interested candidates should send their full resume, including current salary, expected salary, and availability, to The Human Resources Department, Chiyu Banking Corporation Ltd, 1/F, No. 100 Queen's Road Central, Hong Kong or fax to 2986-3233 or click Apply Now .

All information will be kept confidential and used solely for recruitment purposes. Personal data of unsuccessful applicants will be destroyed after the process. A Personal Information Collection Statement is available upon request.

• Seniority level: Mid-Senior level
• Employment type: Other
• Job function: Finance and Consulting
• Industries: Accounting

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Location: Central & Western District, Hong Kong SAR

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The company is a fast-growing payments business backed by leading investors and trusted by well-known names across the crypto ecosystem. Its mission is to make blockchain and digital assets accessible to everyone, everywhere. To support rapid expansion, the business is seeking a Compliance Manager to join its Hong Kong team and help establish and maintain a strong compliance culture.

Role Overview

The Compliance team plays a central role in ensuring the company operates responsibly, ethically, and in accordance with global and local regulations. The team consists of risk-focused problem solvers who balance regulatory requirements with business objectives. AML/CTF, Sanctions, and regulatory risk management form the core of the compliance programme, with an emphasis on proactively mitigating risks while enabling innovation.

Key Responsibilities

• Design, implement, and maintain compliance policies, procedures, and controls in line with Hong Kong regulatory standards.
• Support regulatory licensing and application processes by coordinating with both internal stakeholders and external assessors.
• Monitor and report on compliance with relevant laws, regulations, and company policies.
• Participate in compliance reviews, audits, and investigations, ensuring appropriate follow-up.
• Prepare compliance reports for management, the board, and other stakeholders.
• Collaborate with teams across Product, Engineering, Finance, Legal, and Risk to embed compliance into day-to-day operations.
• Draft and update compliance documentation to meet local regulatory obligations.
• Provide clear, business-focused compliance advice to support decision-making.
• Contribute to special projects in a fast-paced, evolving environment.

What the Company Offers

• A competitive compensation package, including stock options.
• Opportunities for professional development in the rapidly evolving crypto and Web3 space.
• Supportive leadership with defined career growth pathways.
• Access to training programmes, industry events, and conferences.
• A strong focus on employee wellbeing and work-life balance.

This role offers the opportunity to join a business at the forefront of digital asset payments and onboarding infrastructure, where the successful candidate’s expertise will directly shape the future of finance and technology.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal

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Central & Western District, Hong Kong SAR 2 months ago

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Chiyu Banking Corporation Limited has been a licensed bank since 1947. Based in Hong Kong, we aim to provide comprehensive cross-border banking and financial services to customers in Hong Kong, mainland China, and overseas Chinese communities. Leveraging our Hong Kong and Fujian business platforms, we uphold core values of "Sincerity, Flexibility, Tailor-made Service, and Professionalism" to deliver premium services that help grow our customers' wealth, create value, and generate returns for stakeholders and staff.

We value our employees as our most important asset and offer stimulating careers that foster personal growth. We invite applications for the following position:

• Review policies and procedures to ensure compliance with regulatory requirements; develop and oversee compliance review plans; conduct sample transaction checks, especially related to insurance and investment activities.
• Advise on new product launches or revamps, including marketing and sales materials, and training resources.
• Guide business and operations units on internal control requirements.
• Handle inquiries from regulatory bodies and prepare periodic reports for management; lead ad hoc compliance projects or investigations as needed.

• Bachelor's degree or higher in Accounting, Law, or related disciplines.
• At least 5 years of compliance experience in the banking industry.
• In-depth knowledge of HKMA, SFC, and other banking regulations and guidelines.
• Experience working with regulatory authorities.
• Strong prioritization, organizational, and interpersonal skills.
• Proficiency in written and spoken English and Chinese (Cantonese & Mandarin).

We offer competitive packages and promising career opportunities. Interested candidates should send their full resume, including current salary, expected salary, and availability, to The Human Resources Department, Chiyu Banking Corporation Ltd, 1/F, No. 100 Queen's Road Central, Hong Kong or fax to 2986-3233 or click Apply Now .

All information will be kept confidential and used solely for recruitment purposes. Personal data of unsuccessful applicants will be destroyed after the process. A Personal Information Collection Statement is available upon request.

• Seniority level: Mid-Senior level
• Employment type: Other
• Job function: Finance and Consulting
• Industries: Accounting

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Location: Central & Western District, Hong Kong SAR

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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
  
  
  

• 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)
  
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales

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

Central & Western District, Hong Kong SAR 4 weeks ago

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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
  

• 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)
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales

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

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

Central & Western District, Hong Kong SAR 4 weeks ago

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Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

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Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

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The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room to provide timely updates on transactions. Control Room will participate in reviewing, maintaining and providing guidance on transactions, consistent with the firm’s policies and procedures, including information barriers and confidentiality, conflicts of interest, as well as research and gatekeeper policies. CLSA Control Room at the same time covers also research compliance function which provides business advisory and training to CLSA Research which has offices globally in 13 jurisdictions.

Key Areas of Responsibilities

• Maintain firm’s Watch and Restricted Lists.
• Pre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessary.
• Advise and provide guidance to global research activities.
• Manage and advise IPO pre-deal process.
• Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate.
• Advise Personal Account Dealing requests when Watchlist/Restricted List is of concern.
• Maintain and update transaction flows and timetables in deal management system.
• Review of Equity Research Reports and any research publications against reputational and regulatory issues.
• Control and advise communication between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analysts.
• Maintain and update research disclosures.
• Ensure control standards and monitoring are developed, maintained and completed in a timely manner.
• Provide relevant compliance control room input on global Chinese Wall and research related policies.
• Support information barrier surveillance functions including daily review, alerts and breach investigation
• Work closely with the Control Room in Beijing and Compliance Officers in all jurisdictions and for all products/specialization, including supporting regional offices on control room related matters.
• Provide Control Room and Research Compliance training as required.

Requirements

• Degree holder.
• Have a good understanding of financial markets, product business areas, particularly Research.
• Relevant Control Room and/or Research Compliance experience (3-5 years).
• Strong analytical skill, detail-oriented and project management skills.
• Able to identify and escalate operational and regulatory risk.
• Be able to utilize their intellect and exercise good judgment in making rational decisions while under pressure.
• Be able to communicate clearly and effectively in a professional, diplomatic manner.
• Able to build and to develop strong long-term relationships with colleagues, all levels of internal clients, including investment banking, research, and other stakeholders.
• A good command of English and Chinese is required (both in writing and spoken; for Chinese it would be both Cantonese and Putonghua, and both traditional and simplified Chinese).

• Seniority level Associate

• Employment type Full-time

• Job function Finance

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Central & Western District, Hong Kong SAR 1 month ago

Central & Western District, Hong Kong SAR 2 weeks ago

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Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

2 days ago Be among the first 25 applicants

Join to apply for the Assistant Compliance Manager, Compliance role at CLSA

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The role involves supporting the day to day workflow of the Control Room. All business lines communicate directly with the Global Control Room to provide timely updates on transactions. Control Room will participate in reviewing, maintaining and providing guidance on transactions, consistent with the firm’s policies and procedures, including information barriers and confidentiality, conflicts of interest, as well as research and gatekeeper policies. CLSA Control Room at the same time covers also research compliance function which provides business advisory and training to CLSA Research which has offices globally in 13 jurisdictions.

Key Areas of Responsibilities

• Maintain firm’s Watch and Restricted Lists.
• Pre-clear transactions from a conflict clearance and conflict management perspective, and escalating as necessary.
• Advise and provide guidance to global research activities.
• Manage and advise IPO pre-deal process.
• Manage Chinese Wall policy and procedures, including executing wall crossings where appropriate.
• Advise Personal Account Dealing requests when Watchlist/Restricted List is of concern.
• Maintain and update transaction flows and timetables in deal management system.
• Review of Equity Research Reports and any research publications against reputational and regulatory issues.
• Control and advise communication between Research and Investment Banking departments to minimize the risk of unauthorized dissemination of material non-public information and to protect the independence of Research analysts.
• Maintain and update research disclosures.
• Ensure control standards and monitoring are developed, maintained and completed in a timely manner.
• Provide relevant compliance control room input on global Chinese Wall and research related policies.
• Support information barrier surveillance functions including daily review, alerts and breach investigation
• Work closely with the Control Room in Beijing and Compliance Officers in all jurisdictions and for all products/specialization, including supporting regional offices on control room related matters.
• Provide Control Room and Research Compliance training as required.

Requirements

• Degree holder.
• Have a good understanding of financial markets, product business areas, particularly Research.
• Relevant Control Room and/or Research Compliance experience (3-5 years).
• Strong analytical skill, detail-oriented and project management skills.
• Able to identify and escalate operational and regulatory risk.
• Be able to utilize their intellect and exercise good judgment in making rational decisions while under pressure.
• Be able to communicate clearly and effectively in a professional, diplomatic manner.
• Able to build and to develop strong long-term relationships with colleagues, all levels of internal clients, including investment banking, research, and other stakeholders.
• A good command of English and Chinese is required (both in writing and spoken; for Chinese it would be both Cantonese and Putonghua, and both traditional and simplified Chinese).

• Seniority level Associate

• Employment type Full-time

• Job function Finance

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Central & Western District, Hong Kong SAR 1 month ago

Central & Western District, Hong Kong SAR 2 weeks ago

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Join to apply for the Risk & Compliance Manager role at GOLD AVENUE

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Join to apply for the Risk & Compliance Manager role at GOLD AVENUE

MISSION

he Risk & Compliance Manager plays a critical role in supporting our mission to maintain a resilient and effective risk management and compliance framework that safeguards the organization while enabling sustainable growth in our precious metals trading operations.

By proactively identifying, assessing, and mitigating market, credit, money laundering, sanction, and responsible sourcing risks, they help protect the company from financial volatility, counterparty exposures, reputational harm, and regulatory breaches.

Additionally, they contribute to fostering a strong risk and compliance culture across the organization, ensuring alignment with internal policies and external regulations.

Main Activities And Responsibilities

Market and Credit Risk Management:

• Monitor, assess, and manage the company’s market and credit risk exposures related to precious metals and FX trading.
• Support the development and maintenance of risk models and tools to evaluate potential market movements and counterparty risk.
• Define and enforce risk limits in line with company policy to ensure effective control of trading and credit exposures.
• Conduct regular stress testing, scenario analysis, and exposure reviews to assess potential financial impacts and vulnerabilities.
• Prepare comprehensive risk reports and dashboards for senior management, highlighting exposures, trends, and recommended actions.
  
  

• Monitor regulatory requirements (AML laws, SFO Code of conduct, etc.)
• Review of due diligence files at account opening, including conducting enhanced due diligence reviews
• Perform periodic and event-driven reviews and counterparty screening.
• Support to the Front department and Operations for account opening and set up.
• Respond to compliance-related inquiries from internal and external stakeholders.
• Monitor transactions, identify high-risk activity, review clarifications, and handle FIU reporting.
• Organize compliance training sessions.
• Prepare compliance, AML and responsible sourcing third-party audit process.
• Investigate and respond to compliance breaches, ensuring corrective actions are implemented.
• Design and implement compliance policies, procedures, and programs.
  
  

• Master’s degree in Finance, Economics, Mathematics, Risk Management, or a related field.
• Professional certifications such as FRM (Financial Risk Manager) or CFA (Chartered Financial Analyst) are a plus.
• Minimum of 7-10 years of experience in risk management, AML-CFT/sanction program compliance and financial regulation (SFC code of conduct), preferably within a commodities or banking environment. Responsible sourcing expertise is an advantage.
• Demonstrated experience in working with regulatory bodies and managing audits, investigations, and compliance programs.
• Advanced skills in Excel, VBA, SQL, and Python for data analysis and risk modeling.
  
  

• Proficiency in English is required, with business-level proficiency in Cantonese. Additional languages are an advantage.
• Strong knowledge of financial markets, including trading, derivatives, and hedging strategies.
• Strong knowledge of the financial regulatory framework (including AML/CTF laws, SFC Code of Conduct).
• Understanding of key financial instruments used in commodity and FX markets (Spot, Forwards, Swaps, Options, etc.). Experience in the precious metals industry is a plus.
• Proficiency in risk modeling, statistical analysis, and market risk measurement techniques.
• Excellent communication and presentation skills with the ability to interact with senior stakeholders.
• Strong analytical and problem-solving skills.
• Ability to work under pressure in a fast-paced trading environment, to prioritize appropriately, and to work autonomously.
• Analytical skills, high attention to detail and accuracy in risk assessments.
• Expertise in project management
• Proactive and solution-oriented mindset.
• High degree of personal integrity and the ability to advocate for ethical behavior across the organization
  
  

• Financial Risk Manager Risk
• MKS PAMP PAMP (HONG KONG) Ltd.
  
  

• MKS PAMP PAMP (HONG KONG) Ltd.
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales
• Industries Retail

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Wan Chai District, Hong Kong SAR 1 week ago

Wan Chai District, Hong Kong SAR 3 days ago

Wan Chai District, Hong Kong SAR 1 week ago

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Join to apply for the Compliance Manager, Asia role at myGwork - LGBTQ+ Business Community

1 day ago Be among the first 25 applicants

Join to apply for the Compliance Manager, Asia role at myGwork - LGBTQ+ Business Community

This job is with AXA Investment Managers, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.

• Assist in the preparation of annual compliance plan for Asia Compliance focusing on Data Privacy and AI Compliance, and Anti-Bribery & Corruption (ABC) objectives.
• Promote and implement the Group Data Privacy & AI Compliance Policies and requirements within the AXA entities in Asia and coordinate the cooperation and information/ best practices sharing between the Data Privacy Officers (DPOs) in Asia and the Group.
• Provide advice and support on projects/assessments to Asia Compliance and the Asia entities on Data Privacy and AI Compliance (e.g. Risk assessment to cover the specificities of AI systems, policy for 1st line obligations, AI agreement & control template on third parties).
• Update and maintain Asia Compliance policies and procedures to implement in Asia an ongoing compliance monitoring framework aimed at ensuring operational effectiveness of Data Privacy and AI Compliance framework.
• Review entities’ compliance reports and assessments, provide useful/meaningful comments to local compliance teams, and coordinate submission and updates to Group Compliance, including:
• Compliance Risk Assessment (mainly on Data Privacy & AI Compliance risks)
• Data Privacy and AI Compliance Gap Analysis
• Annual maturity level self-assessment against Data Privacy & AI Compliance Policies
• Conduct timely follow-up of actions identified from compliance reviews relevant to Data Privacy and AI Compliance reviews and ABC Reviews, and update the action status to the Group Compliance system.
• Assist in the preparation of training and communications materials (such as presentation materials, newsletters, regular forums on DP & AI matters and other internal communications means) relevant to Data Privacy & AI Compliance and ABC topics.
• Assist Asia entities to arrange the pre-approval Gift &Entertainment process and maintain records in the Gift &Entertainment register.
• Coordinate and gather the required responses for AXA Group reporting and ad hoc requests from AXA Group as needed.
• On an ad-hoc basis, participate at regulatory project and provide advisory from compliance perspective.
• University graduate (academic degree in relevant area e.g., Law, Commerce or Business preferred)
• Minimum 4 - 6 years of relevant experience in data privacy or related area, with knowledge of insurance products, compliance processes and regulatory requirements
• Good interpersonal, communications and presentation, analytical and problem-solving skills
• Proactive, eager to learn, a team player and able to work independently
• Good command of both spoken and written English, other relevant Asian language(s) - particularly Cantonese and/or Mandarin - an advantage

• A competitive salary and benefits package
• Medical cover and dental plan
• Attractive pension plan
• Rental reimbursement scheme
• Extensive learning and development opportunities
  
  

• Seniority level Not Applicable

• Employment type Full-time

• Job function Legal
• Industries Investment Management

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