540 Compliance Officers jobs in Hong Kong

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Direct message the job poster from Longbridge HongKong

• Monitor and assess the effectiveness of compliance programs and make necessary improvements
• Conduct regular compliance review (e.g. AML, Transaction Monitoring) and risk assessments
• Develop, implement, maintain, and review compliance policies and procedures to fulfill SFC / HKEX requirements
• Assist in reviewing and analyzing new regulatory and statutory requirements to ensure the company comply with the relevant rules and regulations
• Handle staff licensing and keep track on the CPT register of the staffs
• Prepare compliance & AML training for staff
• Handle general enquiries from HKEX, SFC and other relevant regulators
• Assist in other ad-hoc duties as assigned

• Bachelor’s degree or above in related disciplines
• Minimum 3 years' relevant working experience in handling complicated compliance issues
• Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business
• Self-motivated and able to work independently
• Good interpersonal and communication skills
• Excellent Command in both written and spoken English and Chinese (including Cantonese and Mandarin)
• Candidate with less experience will be considered as Assistant Compliance Officer

We offer competitive salary and package for the right candidate. Interested parties are requested to send their resume and expected monthly salary by clicking “Apply Now”.

All information collected will be treated in strict confidence and only be used for recruitment purposes. Candidates not invited for interview within 8 weeks after submission date may assume their application unsuccessful and their information will be destroyed within 12 months.

• Entry level

• Full-time

• Legal and Finance

• Business Consulting and Services and Financial Services

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

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

• 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

Responsibilities

• Monitor and assess the effectiveness of compliance programs and make necessary improvements
• Conduct regular compliance review (e.g. AML, Transaction Monitoring) and risk assessments
• Develop, implement, maintain, and review compliance policies and procedures to fulfill SFC / HKEX requirements
• Assist in reviewing and analyzing new regulatory and statutory requirements to ensure the company comply with the relevant rules and regulations
• Handle staff licensing and keep track on the CPT register of the staffs
• Prepare compliance & AML training for staff
• Handle general enquiries from HKEX, SFC and other relevant regulators
• Assist in other ad-hoc duties as assigned

Requirements

• Bachelor's degree or above in related disciplines
• Minimum 3 years' relevant working experience in handling complicated compliance issues
• Solid working experience in general compliance
• Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business
• Self-motivated and able to work independently
• Good interpersonal and communication skills
• Excellent Command in both written and spoken English and Chinese (including Cantonese and Mandarin)
• Candidate with less experience will be considered as Assistant Compliance Officer

We offer competitive salary and package for the right candidate. Interested parties are requested to send their resume and expected monthly salary by clicking "Apply Now".

All information collected will be treated in strict confidence and only be used for recruitment purposes.Candidates not being invited for interview within 8 weeks after submission date may assume their application unsuccessful and their information will be destroyed within 12 months.

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

Direct message the job poster from Longbridge HongKong

• Monitor and assess the effectiveness of compliance programs and make necessary improvements
• Conduct regular compliance review (e.g. AML, Transaction Monitoring) and risk assessments
• Develop, implement, maintain, and review compliance policies and procedures to fulfill SFC / HKEX requirements
• Assist in reviewing and analyzing new regulatory and statutory requirements to ensure the company comply with the relevant rules and regulations
• Handle staff licensing and keep track on the CPT register of the staffs
• Prepare compliance & AML training for staff
• Handle general enquiries from HKEX, SFC and other relevant regulators
• Assist in other ad-hoc duties as assigned

• Bachelor’s degree or above in related disciplines
• Minimum 3 years' relevant working experience in handling complicated compliance issues
• Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business
• Self-motivated and able to work independently
• Good interpersonal and communication skills
• Excellent Command in both written and spoken English and Chinese (including Cantonese and Mandarin)
• Candidate with less experience will be considered as Assistant Compliance Officer

We offer competitive salary and package for the right candidate. Interested parties are requested to send their resume and expected monthly salary by clicking “Apply Now”.

All information collected will be treated in strict confidence and only be used for recruitment purposes. Candidates not invited for interview within 8 weeks after submission date may assume their application unsuccessful and their information will be destroyed within 12 months.

• Entry level

• Full-time

• Legal and Finance

• Business Consulting and Services and Financial Services

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

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

• 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

About The Job

We are seeking a talented Legal & Compliance Counsel to join our thriving Legal Team. With over 20 dedicated professionals, the APAC Legal Team plays a crucial role in safeguarding our business and people, ensuring we operate with integrity and within the bounds of laws and regulations. This is an exceptional opportunity to contribute your expertise to a vital function at the heart of our operations.

Reporting to the Senior Legal & Compliance Counsel, APAC, the Legal & Compliance Counsel, APAC will support and advise on critical compliance topics in the APAC markets (Hong Kong, Macau, Taiwan, Mainland China, South Korea, Singapore, Malaysia, Thailand, Vietnam, Australia, and New Zealand). Key areas include Anti-Money Laundering (AML), sanctions, anti-bribery & corruption, whistleblowing, ESG initiatives, and antitrust regulations.

• Compliance Programme Management: Support the daily operational aspects of our compliance programme, including drafting and updating policies, providing expert advice on AML/KYC/CDD matters, conducting investigations into non-compliance, and implementing effective solutions across all APAC markets.
• Risk Identification & Mitigation: Proactively identify potential compliance risks and contribute to the development and implementation of robust processes and controls to mitigate them effectively.
• Regulatory Oversight: Continuously monitor legal and regulatory updates, support regional regulatory change management initiatives, and serve as a key liaison with relevant authorities.
• Training & Development: Design, develop, and deliver compliance training programmes to foster a strong culture of compliance throughout the region.

• Qualified lawyer (Hong Kong or other common law jurisdiction) with 4+ years PQE; CAMS and other compliance certifications are an advantage.
• 4+ years’ experience in AML/sanctions compliance, preferably within a multinational corporate, financial institution, or law firm.
• Proven experience in anti-bribery & corruption and whistleblowing.
• Strong knowledge of APAC regulatory compliance laws and enforcement trends.
• Experience in litigation, regulatory or internal investigations, sustainability/ESG, or antitrust work is an advantage.
• Experience in the luxury retail or with regulatory authorities.
• Experience working with diverse stakeholders on key compliance issues (e.g., AML and sanctions).
• Familiarity with AML/sanctions screening software (e.g., WorldCheck, Integration Point).
• Experience in a diverse, multi-jurisdiction APAC environment.

Based in our Hong Kong office, you will collaborate with diverse teams across our different Maisons and Functions, both in the region and at our HQ. In our dynamic luxury retail environment, your learning agility, resilience, and proactiveness will be key to forging strong, lasting partnerships with your stakeholders.

Your journey with us begins with a conversation with our Talent Acquisition Team to ensure a mutual understanding of the role. Following this, you will have the opportunity to meet the direct manager and function head, to share with you their insight into our team's culture, structure, and the specific expectations of this position.

• Mid-Senior level

• Full-time

• Legal

• Retail Luxury Goods and Jewelry

Responsibilities:

• Provide compliance advice and solution to management and departments
• Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations
• Formulate and review general compliance manual, AML and other internal policies and procedures
• Keep abreast on regulatory developments and advise management and departments accordingly
• Monitor the Company's operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures
• Coordinate with other departments on legal, compliance and company secretarial matters
• Collaborate with regulatory bodies and external auditors to ensure compliance control meets the required standard.
• Set up the governance framework and monitor the operational risk.
• Handle and maintain statutory records, licence applications etc.
• Maintain effective risk management and controls for Credit Card Business by overseeing the regulatory compliance functions.
• Strengthen the company's compliance framework by enhancing and review compliance policies, procedures, and compliance manuals.

Requirements:

• Bachelor's Degree in Finance, Accounting or related discipline.
• At least 4 years' relevant experience in AML Compliance, preferably gained from finance/banking sector.
• Sound knowledge of regulation compliance in 
  credit cards products is a plus
  .
• Strong problem solving, interpersonal and communication skills.
• Self-motivated and able to work independently.
• Proficient in both written and spoken English and Chinese.

We offer a competitive remuneration package and excellent career prospects to the right candidates.

Interested parties, please send your application with full resume indicating current and expected salary by clicking
'Apply Now'
.

Responsibilities:

• Monitor and manage the legal & compliance works of sovereign standard PE fund business for the Company, ensure to comply with internal policies, external regulations and sovereign fund governance standards;
• Draft, review, negotiate and advise agreements, legal contracts and relevant fund documents;
• Monitor PE fund operations such as deal structuring, fund administration, and portfolio management;
• Develop and update policies, maintain compliance records, and prepare reports for regulators, board members, and government stakeholders;
• Handle ad hoc projects when required.

Requirements:

• Degree holder in Law or related disciplines;
• 5–10 years of experience in compliance, legal, or risk management within private equity or sovereign standard PE funds;
• Experience in handling legal documents, various contracts for the PE fund business;
• Knowledge of Global and China regulatory frameworks impacting sovereign standard PE funds, and other relevant financial regulations;
• Analytical, problem-solving, independent with good communication skills;
• Strong command of both written and spoken English and Chinese, fluency in Putonghua is highly preferred.

We offer attractive remuneration package to the right candidate. Interested parties, please send full resume with current, expected salary and availability by clicking "Quick Apply".

Collected personal data is used for recruitment purpose only.

About the role

Servier Hong Kong, an affiliate of the second largest French pharmaceutical group, is now seeking a capable Legal and Compliance Manager to join our team. This full-time role is integral to the success of our corporate ambition.

The successful candidate will be responsible for providing leadership and direct oversight of all legal & compliance affairs for Servier subsidiaries in Hong Kong and Taiwan. Served as the primary legal and compliance contact for both subsidiaries and global Servier teams, this position is based in Hong Kong SAR and may include occasional travel to Taiwan and, very occasionally, to other destinations.

What you'll be doing

Legal

• Draft, review, and negotiate key agreements and provide practical legal advice across various areas, including competition, commercial, pharmaceutical (especially market access, new technologies, criminal, IP law) with consistent support of notably outside law firm.
• Develop standardized, localized legal processes and templates to efficiently deliver legal services in Hong Kong and Taiwan.
• Manage litigation in accordance with Group internal policies.

Compliance

• Lead, in coordination with regional / global compliance on projects, manage communication of resulting reports/ recommendations and support any required business remediation plans / corrective actions.
• Ensure that risk management practices are aligned with relevant laws, regulations, and industry standards.
• Integrate risk management into the businesses' governance structure and decision-making processes.

What we're looking for

• Law Degree holder from a respected, accredited institution
• 4 to 6 years of experience in a multinational environment
• Experience in pharmaceutical industry or other highly regulated sector (in house and/or in a law firm) highly preferred
• Strong expertise in data privacy laws and compliance frameworks, along with contract, litigation, corporate, commercial, competition and IP law
• Excellent command of Chinese and English (including contract-drafting) with international exposure
• Good computer skills including Microsoft tools

What we offer

At Servier Hong Kong, we are committed to providing our employees with a rewarding and supportive work environment. We offer competitive remuneration, comprehensive benefits, and ample opportunities for professional development and career advancement. Our company culture values teamwork, innovation, and a healthy work-life balance.

About Servier

Servier is a global pharmaceutical company committed to therapeutic progress to serve patient needs. With a strong international presence in close to 140 countries and a turnover of €5.9 billion, we are dedicated to discovering, developing, and delivering effective and innovative healthcare solutions.

If you are excited by the prospect of joining our dynamic team and contributing to the success of Servier Hong Kong, we encourage you to Apply Now