192 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

Get AI-powered advice on this job and more exclusive features.

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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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

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• 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 Associate Director (Risk Management & Compliance) – Market Risk role at Hong Kong Monetary Authority (HKMA)

2 days ago Be among the first 25 applicants

Join to apply for the Associate Director (Risk Management & Compliance) – Market Risk role at Hong Kong Monetary Authority (HKMA)

Key Responsibilities

• Develop and maintain sophisticated quantitative models for market risk assessment, including, but not limited to, Value-at-Risk, tracking error, stress testing, and scenario analysis across various asset classes, such as equities, fixed income, commodities, and alternatives
• Monitor portfolio exposures to ensure alignment with the Exchange Fund’s investment objectives and risk profile, including producing regular reports for senior management and investment committees
• Evaluate investment performance and conduct performance attribution analysis
• Assist in the team’s effort in further adopting new technologies (such as big data platforms and AI) in market risk management, such as in respect of enhancing data automation and processing, risk modelling, as well as report generation and presentation
• Assist in conducting research on financial markets and peer-group practices on risk management, performance measurement and asset allocation

Requirements

• University degree in risk management, finance, investment management, accountancy, economics or a related field
• At least three years of relevant experience in risk management, investment management, or financial data analysis
• Knowledge of risk management, automation and visualisation software, e.g. Python, R, UiPath and Tableau, as well as artificial intelligence and machine learning a definite advantage
• Strong general knowledge, versatility, attention to detail, and excellent logical and critical thinking skills
• Good interpersonal, communication, presentation and professional report-writing skills
• Ability to work independently and under pressure
• Willing to take up challenges and proactively identify and resolve issues
• Proficient in both written and spoken English and Chinese

Remuneration Package

A competitive remuneration package will be offered to the successful candidate, with flexibility to take into account of additional experience and qualifications. Fringe benefits include medical and dental benefits, paid annual leave and provident fund benefits.

Closing Date for Application: 19 July 2025.

Please visit our website at for more information about the position.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Accounting/Auditing, Finance, and Research
• Industries Government Relations Services

Referrals increase your chances of interviewing at Hong Kong Monetary Authority (HKMA) by 2x

Wan Chai District, Hong Kong SAR 1 week ago

Wan Chai District, Hong Kong SAR 1 week ago

Central & Western District, Hong Kong SAR 2 days ago

Central & Western District, Hong Kong SAR 12 hours ago

Central & Western District, Hong Kong SAR 2 weeks 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 Associate Director (Risk Management & Compliance) – Market Risk role at Hong Kong Monetary Authority (HKMA)

2 days ago Be among the first 25 applicants

Join to apply for the Associate Director (Risk Management & Compliance) – Market Risk role at Hong Kong Monetary Authority (HKMA)

Key Responsibilities

• Develop and maintain sophisticated quantitative models for market risk assessment, including, but not limited to, Value-at-Risk, tracking error, stress testing, and scenario analysis across various asset classes, such as equities, fixed income, commodities, and alternatives
• Monitor portfolio exposures to ensure alignment with the Exchange Fund’s investment objectives and risk profile, including producing regular reports for senior management and investment committees
• Evaluate investment performance and conduct performance attribution analysis
• Assist in the team’s effort in further adopting new technologies (such as big data platforms and AI) in market risk management, such as in respect of enhancing data automation and processing, risk modelling, as well as report generation and presentation
• Assist in conducting research on financial markets and peer-group practices on risk management, performance measurement and asset allocation

Requirements

• University degree in risk management, finance, investment management, accountancy, economics or a related field
• At least three years of relevant experience in risk management, investment management, or financial data analysis
• Knowledge of risk management, automation and visualisation software, e.g. Python, R, UiPath and Tableau, as well as artificial intelligence and machine learning a definite advantage
• Strong general knowledge, versatility, attention to detail, and excellent logical and critical thinking skills
• Good interpersonal, communication, presentation and professional report-writing skills
• Ability to work independently and under pressure
• Willing to take up challenges and proactively identify and resolve issues
• Proficient in both written and spoken English and Chinese

Remuneration Package

A competitive remuneration package will be offered to the successful candidate, with flexibility to take into account of additional experience and qualifications. Fringe benefits include medical and dental benefits, paid annual leave and provident fund benefits.

Closing Date for Application: 19 July 2025.

Please visit our website at for more information about the position.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Accounting/Auditing, Finance, and Research
• Industries Government Relations Services

Referrals increase your chances of interviewing at Hong Kong Monetary Authority (HKMA) by 2x

Wan Chai District, Hong Kong SAR 1 week ago

Wan Chai District, Hong Kong SAR 1 week ago

Central & Western District, Hong Kong SAR 2 days ago

Central & Western District, Hong Kong SAR 12 hours ago

Central & Western District, Hong Kong SAR 2 weeks ago

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