179 Compliance Officer jobs in Hong Kong

Join to apply for the Legal/Compliance Officer role at HedgeSPA (Sophisticated Predictive Analytics for Hedge Funds and Leading Institutions) .

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• Implement and manage an effective legal compliance program
• Develop and review company policies
• Advise management on the company’s compliance with laws and regulations through detailed reports
• Create and manage effective action plans in response to audit discoveries and compliance violations
• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks
• Assess company operations to determine compliance risk
• Ensure all employees are educated on the latest regulations and processes
• Resolve employee concerns about legal compliance

• Minimal experience level: Over 1 year
• Career Level: Entry Level
• Minimum English Level: Business Level (English usage about 50%)
• Minimum Education Level: Bachelor's Degree
• Required Skills: Knowledge in legal and regulatory compliance procedures, professional maturity

• American-style Employee Stock Option Scheme
• Negotiable salary based on experience
• Bonuses paid on top of indicated salary

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

2 days ago Be among the first 25 applicants

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Direct message the job poster from Ashford Benjamin

Ashford Benjamin is proud to partner with a global investment management firm in hiring a senior compliance professional for their Hong Kong office. This role offers broad exposure across all aspects of compliance, including regulatory advisory, marketing material reviews, licensing matters, liaison with regulators, and managing regulatory inquiries and examinations. While the primary focus is Hong Kong and Greater China, the role may also provide compliance support across other offices in Asia. The ideal candidate will have approximately 10 years of asset management compliance experience, covering both public and private markets. Strong knowledge of Credit is highly desirable. Excellent communication skills are essential, as the role involves regular interaction with global stakeholders. Fluency in Mandarin is preferred due to the market coverage.

For more information on this opportunity or for a general discussion on the compliance market, please reach out to

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal, Finance, and Business Development
• Industries Staffing and Recruiting, Legal Services, and Banking

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Wan Chai District, Hong Kong SAR 1 day ago

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2 days ago Be among the first 25 applicants

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Direct message the job poster from Ashford Benjamin

Ashford Benjamin is proud to partner with a global investment management firm in hiring a senior compliance professional for their Hong Kong office. This role offers broad exposure across all aspects of compliance, including regulatory advisory, marketing material reviews, licensing matters, liaison with regulators, and managing regulatory inquiries and examinations. While the primary focus is Hong Kong and Greater China, the role may also provide compliance support across other offices in Asia. The ideal candidate will have approximately 10 years of asset management compliance experience, covering both public and private markets. Strong knowledge of Credit is highly desirable. Excellent communication skills are essential, as the role involves regular interaction with global stakeholders. Fluency in Mandarin is preferred due to the market coverage.

For more information on this opportunity or for a general discussion on the compliance market, please reach out to

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal, Finance, and Business Development
• Industries Staffing and Recruiting, Legal Services, and Banking

Referrals increase your chances of interviewing at Ashford Benjamin by 2x

Wan Chai District, Hong Kong SAR 1 day ago

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Join to apply for the QRM Compliance Officer, Quality and Risk Management role at KPMG China

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Join to apply for the QRM Compliance Officer, Quality and Risk Management role at KPMG China

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Job Description

KPMG China provides multidisciplinary services from audit and tax to advisory, with a strong focus on serving our clients’ needs and their industries. Not only do we have an overriding commitment to provide the highest quality services for our clients, but we also strive to become a responsible corporate citizen that has a positive impact on our environment and community. At KPMG, you’ll translate insights into action and reveal opportunities for all—our teams, our clients and our world.

Job Description

KPMG China provides multidisciplinary services from audit and tax to advisory, with a strong focus on serving our clients’ needs and their industries. Not only do we have an overriding commitment to provide the highest quality services for our clients, but we also strive to become a responsible corporate citizen that has a positive impact on our environment and community. At KPMG, you’ll translate insights into action and reveal opportunities for all—our teams, our clients and our world.

Service Line Overview

Within KPMG, Quality & Risk Management Department (“QRM”) is a dedicated group of professionals who oversee the QRM policies and procedures to enable KPMG to be the most trustworthy and trusted professional services firm. We are currently looking for a committed individual to provide support to QRM.

Key Responsibilities

• Report directly to Managers and Senior Managers within QRM
• Support internal compliance processes in extracting, analysing and reporting of data in the evaluation system based on the firm’s risk and compliance policies
• Monitor exception reports in various systems and perform follow up procedures
• Assist project managers in tracking and reporting the projects’ status
• Liaise with other teams or departments as needed
• Clear career path for growth and development within QRM, based on performance and contributions to the projects
  
  
  

• Bachelor degree or above
• 1-2 years related working experience
• Well-versed in MS Office, Excel, PPT and Word, e.g. using pivot tables to sort and calculate data, Excel formula functions for basic match calculations like V-Lookup to locate data sets etc.
• A self-starter with an analytical mind and a proactive approach to problem solving
• Being a proactive team player and able to drive collaboration
• Good communication and interpersonal skills
• Good with details and analytical skills
• Good sense of problem solving and be able to work under pressure and meet deadlines
• Good command of spoken and written English and Chinese (Mandarin and Cantonese)
  
  
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal
• Industries Professional Services

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Central & Western District, Hong Kong SAR 3 weeks ago

Wan Chai District, Hong Kong SAR 2 weeks ago

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Join to apply for the QRM Compliance Officer, Quality and Risk Management role at KPMG China

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Join to apply for the QRM Compliance Officer, Quality and Risk Management role at KPMG China

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Job Description
KPMG China provides multidisciplinary services from audit and tax to advisory, with a strong focus on serving our clients’ needs and their industries. Not only do we have an overriding commitment to provide the highest quality services for our clients, but we also strive to become a responsible corporate citizen that has a positive impact on our environment and community. At KPMG, you’ll translate insights into action and reveal opportunities for all—our teams, our clients and our world.

Job Description
KPMG China provides multidisciplinary services from audit and tax to advisory, with a strong focus on serving our clients’ needs and their industries. Not only do we have an overriding commitment to provide the highest quality services for our clients, but we also strive to become a responsible corporate citizen that has a positive impact on our environment and community. At KPMG, you’ll translate insights into action and reveal opportunities for all—our teams, our clients and our world.
Service Line Overview
Within KPMG, Quality & Risk Management Department (“QRM”) is a dedicated group of professionals who oversee the QRM policies and procedures to enable KPMG to be the most trustworthy and trusted professional services firm. We are currently looking for a committed individual to provide support to QRM.
Key Responsibilities

• Report directly to Managers and Senior Managers within QRM
• Support internal compliance processes in extracting, analysing and reporting of data in the evaluation system based on the firm’s risk and compliance policies
• Monitor exception reports in various systems and perform follow up procedures
• Assist project managers in tracking and reporting the projects’ status
• Liaise with other teams or departments as needed
• Clear career path for growth and development within QRM, based on performance and contributions to the projects
  

• Bachelor degree or above
• 1-2 years related working experience
• Well-versed in MS Office, Excel, PPT and Word, e.g. using pivot tables to sort and calculate data, Excel formula functions for basic match calculations like V-Lookup to locate data sets etc.
• A self-starter with an analytical mind and a proactive approach to problem solving
• Being a proactive team player and able to drive collaboration
• Good communication and interpersonal skills
• Good with details and analytical skills
• Good sense of problem solving and be able to work under pressure and meet deadlines
• Good command of spoken and written English and Chinese (Mandarin and Cantonese)
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal
• Industries Professional Services

Referrals increase your chances of interviewing at KPMG China by 2x

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Central & Western District, Hong Kong SAR 3 weeks ago

Wan Chai District, Hong Kong SAR 2 weeks ago

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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

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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.

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.