204 Compliance Officer jobs in Hong Kong

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

The Compliance Officer will be part of the Compliance Monitoring / Testing team, reporting to the Head of Compliance Monitoring and Testing. The candidate will be primarily responsible for overseeing the completion of Compliance monitoring and surveillance processes. They will also participate in compliance testing reviews and regulatory reporting work.

Key Areas of Responsibilities

• Conduct Compliance Monitoring and Surveillance reviews to assess the firm’s ongoing compliance with Key Regulatory Requirements;
• Participate in in-depth reviews of compliance risks and controls according to the Compliance Testing plan;
• Prepare Regulatory Reports including large shareholding reporting, short position, takeover code, or the bank holding company act;
• Participate in transaction approval processes by reviewing transactions against compliance criteria;
• Review electronic communications alerts as part of the e-com surveillance program;
• Assist in responding to regulatory queries;
• Report information to management, update incident logs, and employee conduct breach logs.

Requirements

• 2-3+ years of experience within a securities/investment banking firm, big four/consulting firm, regulatory body, or in compliance testing/internal audit;
• Sound knowledge of Hong Kong markets and investment banking regulatory requirements (SFC / HKMA);
• Strong communication and interpersonal skills;
• Fluent in English, Mandarin, and Cantonese;
• Experience working with local regulators is highly regarded.

• Associate

• Full-time

• Other

Referrals can increase your chances of interviewing at CLSA by 2x.

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

The Compliance Officer will be part of the Compliance Monitoring / Testing team, reporting to the Head of Compliance Monitoring and Testing. The candidate will be primarily responsible for overseeing the completion of Compliance monitoring and surveillance processes. They will also participate in compliance testing reviews and regulatory reporting work.

Key Areas of Responsibilities

• Conduct Compliance Monitoring and Surveillance reviews to assess the firm’s ongoing compliance with Key Regulatory Requirements;
• Participate in in-depth reviews of compliance risks and controls according to the Compliance Testing plan;
• Prepare Regulatory Reports including large shareholding reporting, short position, takeover code, or the bank holding company act;
• Participate in transaction approval processes by reviewing transactions against compliance criteria;
• Review electronic communications alerts as part of the e-com surveillance program;
• Assist in responding to regulatory queries;
• Report information to management, update incident logs, and employee conduct breach logs.

Requirements

• 2-3+ years of experience within a securities/investment banking firm, big four/consulting firm, regulatory body, or in compliance testing/internal audit;
• Sound knowledge of Hong Kong markets and investment banking regulatory requirements (SFC / HKMA);
• Strong communication and interpersonal skills;
• Fluent in English, Mandarin, and Cantonese;
• Experience working with local regulators is highly regarded.

• Associate

• Full-time

• Other

Referrals can increase your chances of interviewing at CLSA by 2x.

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

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

YOUR PROFILE:

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

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Accounting/Auditing and Finance

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

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Direct message the job poster from Avenir Group

Key Responsibilities:

• Conduct Compliance Monitoring and Surveillance reviews to evaluate the firm’s adherence to key regulatory requirements.

• Perform in-depth assessments of compliance risks and controls in alignment with the Compliance Testing Plan.

• Support the transaction approval process by reviewing transactions against established compliance criteria.

• Assist in addressing regulatory inquiries and preparing responses to regulatory bodies.

• Prepare and deliver compliance reports to management, maintaining incident logs and employee conduct breach records.

• Advise on data privacy, intellectual property, and tax considerations ensuring compliance and asset protection.

Requirements:

• Bachelor’s degree or higher in Law, Finance, Business, or a related discipline.

• 5+ years of compliance experience within Asset Management, Hedge Funds(HF), Venture Capital (VC) and Private Equity (PE) with a strong understanding of regulatory frameworks.

• In-depth knowledge of Hong Kong market regulations (SFC, HKMA) and investment management compliance.

• Excellent communication and interpersonal skills, with the ability to engage stakeholders at all levels.

• Fluent in English and Chinese (written and spoken).

• Prefer candidates who are familiar with financial regulations, and capable of handling license applications and compliance matters.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal

Referrals increase your chances of interviewing at Avenir Group by 2x

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

Central & Western District, Hong Kong SAR 4 weeks ago

Central & Western District, Hong Kong SAR 1 week ago

Wan Chai District, Hong Kong SAR 6 days ago

Central & Western District, Hong Kong SAR 59 minutes ago

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

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

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

YOUR PROFILE:

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

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Accounting/Auditing and Finance

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

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 Avenir Group

Key Responsibilities:

• Conduct Compliance Monitoring and Surveillance reviews to evaluate the firm’s adherence to key regulatory requirements.

• Perform in-depth assessments of compliance risks and controls in alignment with the Compliance Testing Plan.

• Support the transaction approval process by reviewing transactions against established compliance criteria.

• Assist in addressing regulatory inquiries and preparing responses to regulatory bodies.

• Prepare and deliver compliance reports to management, maintaining incident logs and employee conduct breach records.

• Advise on data privacy, intellectual property, and tax considerations ensuring compliance and asset protection.

Requirements:

• Bachelor’s degree or higher in Law, Finance, Business, or a related discipline.

• 5+ years of compliance experience within Asset Management, Hedge Funds(HF), Venture Capital (VC) and Private Equity (PE) with a strong understanding of regulatory frameworks.

• In-depth knowledge of Hong Kong market regulations (SFC, HKMA) and investment management compliance.

• Excellent communication and interpersonal skills, with the ability to engage stakeholders at all levels.

• Fluent in English and Chinese (written and spoken).

• Prefer candidates who are familiar with financial regulations, and capable of handling license applications and compliance matters.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal

Referrals increase your chances of interviewing at Avenir Group by 2x

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

Central & Western District, Hong Kong SAR 4 weeks ago

Central & Western District, Hong Kong SAR 1 week ago

Wan Chai District, Hong Kong SAR 6 days ago

Central & Western District, Hong Kong SAR 59 minutes ago

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

• Monitor regulatory changes and update the policies and procedures
• Handle regulatory reporting and inquires with the relevant Exchanges and Regulators
• Handle research report clearance
• Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Handle on-going SFC reporting matters
• Handle staff dealing review and monitoring
• Maintain and update stock restricted list and watch lists
• Conduct in-house compliance training
• Assist in ad hoc projects as required

Requirements :

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 3-5 years of work experience in brokerage firms, financial institutions, big 4 audit firm or law firms experience is welcomed
• Robust and solid understanding of SFC Code of Conducts and relevant regulatory requirements
• Knowledge of securities and investment products and its operation
• Familiar with FATCA/QI/CRS requirements is an advantage
• Preferable to have project management experience on implementation of new rules, products or business
• Responsible, hardworking and well-organized
• A good team player with strong interpersonal and analytical skills as well as high degree of professional maturity
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus

• Seniority level Associate

• Employment type Full-time

• Job function Legal and Finance

Referrals increase your chances of interviewing at Futu Holdings Limited by 2x

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

Wan Chai District, Hong Kong SAR 1 week ago

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

• Monitor regulatory changes and update the policies and procedures
• Handle regulatory reporting and inquires with the relevant Exchanges and Regulators
• Handle research report clearance
• Handles licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators
• Handle on-going SFC reporting matters
• Handle staff dealing review and monitoring
• Maintain and update stock restricted list and watch lists
• Conduct in-house compliance training
• Assist in ad hoc projects as required

Requirements :

• Undergraduate Degree in Law, Accountancy, Finance, or related disciplines
• Minimum 3-5 years of work experience in brokerage firms, financial institutions, big 4 audit firm or law firms experience is welcomed
• Robust and solid understanding of SFC Code of Conducts and relevant regulatory requirements
• Knowledge of securities and investment products and its operation
• Familiar with FATCA/QI/CRS requirements is an advantage
• Preferable to have project management experience on implementation of new rules, products or business
• Responsible, hardworking and well-organized
• A good team player with strong interpersonal and analytical skills as well as high degree of professional maturity
• Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin is a plus

• Seniority level Associate

• Employment type Full-time

• Job function Legal and Finance

Referrals increase your chances of interviewing at Futu Holdings Limited by 2x

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

Wan Chai District, Hong Kong SAR 1 week 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 Officer, Financial Crime, Compliance role at CLSA .

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

Key Responsibilities

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

Requirements

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

Additional Details

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

This job is active and accepting applications.