395 Contract Compliance jobs in Hong Kong

1 day ago Be among the first 25 applicants

This is a pivotal leadership position at the heart of our company's governance and integrity framework. As the SVP of Regulatory Compliance, you will be the designated Compliance Officer, serving as our primary liaison with the Hong Kong Monetary Authority (HKMA). You will be entrusted with the ultimate responsibility for owning, maintaining, and enhancing our compliance framework to ensure we not only meet but exceed regulatory expectations. This strategic role is critical to our license to operate, our public reputation, and our ability to innovate responsibly.

Key Responsibilities:

• Regulatory Relationship Management:
• Lead and manage all regulatory engagement with the HKMA and other relevant authorities. Act as the primary, official point of contact for supervisory teams, handling inquiries, coordinating examinations, and ensuring timely, accurate, and high-quality responses.
• Cultivate and maintain a relationship of trust and transparency with our regulators.
• Compliance Framework & Governance:
• Own and continuously enhance the company's compliance framework, including all policies, procedures, and internal controls to ensure robust adherence to all applicable laws, particularly the Payment Systems and Stored Value Facilities Ordinance (PSSVFO) and other relevant guidelines and circulars.
• Proactively oversee the regulatory monitoring process to identify, assess, and implement necessary changes in response to the evolving legal and regulatory landscape.
• Leadership & Culture:
• Drive a strong, proactive compliance culture throughout the entire organization, from the board level to daily operations.
• Develop and deliver impactful, ongoing compliance training programs for all staff to ensure a high level of awareness and competence across the company.
• Serve as a key member of the leadership team, providing guidance and strategic input on all matters with regulatory implications.
• Advisory & Assurance:
• Act as a strategic advisor to the business and senior management, providing pragmatic and commercially-minded compliance guidance on new products, business initiatives, and emerging technologies.
• Lead internal compliance reviews and risk assessments to provide assurance to the Board and senior management on the effectiveness of the control environment.
• Designated Officer Roles:
• Formally act as the designated Compliance Officer and Code of Conduct Officer for the company, maintaining all required regulatory records and fulfilling all statutory obligations associated with these roles.

Qualifications & Experience:

• A minimum of 10 years of progressive experience in regulatory compliance, risk management, or internal audit within an HKMA-regulated Authorized Institution (AI), Stored Value Facility (SVF), or a relevant regulatory body.
• Deep, demonstrable expertise in the Hong Kong regulatory environment, particularly the Banking Ordinance, PSSVFO and the HKMA's AML/CFT guidelines. Direct experience with Banking or SVF regulations is strongly preferred.
• Bachelor's degree in Law, Finance, Accounting, or a related discipline. Relevant professional qualifications are highly advantageous.
• Proven track record of successfully managing relationships and communications with financial regulators, especially the HKMA.
• Exceptional communication, interpersonal, and stakeholder management skills, with the gravitas to engage effectively with senior management, the Board of Directors, and regulators.
• A proactive, hands-on, and commercially-minded leader with unwavering integrity and a commitment to upholding the highest ethical standards.

General Culture and Benefits of RD Technologies

• Exciting and collaborative startup environment.
• Give your best while having fun and grow as a person.
• A flat structure: your ideas get heard by the right people very quickly.
• Creating your own profile in the startup ecosystem.
• Casual dress code.
• Free coffee, tea, drinks and snacks daily.
• In-house gym facilities.
• Regular and fun company activities.
• Other leaves in addition to annual leaves, e.g. marriage leave, birthday leave, compassionate leave.

Data collected would be used for recruitment purposes only. Applicants who do not hear from us may consider their application unsuccessful and their data will be destroyed within 24 months of receipt.

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Business Development and Sales

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Central & Western District, Hong Kong SAR 2 weeks ago

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3 days ago Be among the first 25 applicants

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This role primarily provides risk management and regulatory compliance advisory to PCCW Group and its insurance business in order to ensure the relevant business teams operate in strict adherence to applicable internal policy standards and regulatory requirements.

Your role:

• Provide risk management and regulatory compliance support to ensure effective controls on the daily operation of PCCW Group and its insurance business
• Maintain an effective implementation of the Risk and Compliance governance structure for relevant business activities
• Coordinate with the First Line of Defense and Group Legal team to enable business untis are operating in a strict compliance with relevant laws, regulations and internal policy guidelines
• Monitor the current relevant regulatory landscape and devise action plan corresponding to changes of regulatory requirements
• Organize training/ briefing with business units to promote their awareness of the Group policy requirements
• Liaise with the First Line of Defence on the preparation of risk and compliance reporting to relevant management/ relevant authorities/ insurance principals
• Support the review and evaluation of commercial deals and new initiatives of the business units

To succeed in this role:

• University degree with a minimum of 3 to 5 years’ experience in risk management/regulatory compliance, preferably gained from the insurance industry
• Sound knowledge of relevant laws, regulations and guidelines, e.g. HKIA
• Proficient communication, interpersonal and stakeholder management skills
• Prior experience in engagement with regulators is preferred
• Knowledge of life insurance and general insurance products is a plus
• Self-motivated, independent team player with strong problem-solving skills
• Excellent command of written and spoken English and Chinese

If you have the desire for an exciting and rewarding career, please apply by sending your resume immediately, quoting your present and expected salary by clicking "Apply Now" or email to

For more information on other job opportunities of PCCW/HKT Corporate Functions, please visit our website. (

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal
• Industries Telecommunications

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Wan Chai District, Hong Kong SAR 2 weeks ago

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3 days ago Be among the first 25 applicants

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This role primarily provides risk management and regulatory compliance advisory to PCCW Group and its insurance business in order to ensure the relevant business teams operate in strict adherence to applicable internal policy standards and regulatory requirements.

Your role:

• Provide risk management and regulatory compliance support to ensure effective controls on the daily operation of PCCW Group and its insurance business
• Maintain an effective implementation of the Risk and Compliance governance structure for relevant business activities
• Coordinate with the First Line of Defense and Group Legal team to enable business untis are operating in a strict compliance with relevant laws, regulations and internal policy guidelines
• Monitor the current relevant regulatory landscape and devise action plan corresponding to changes of regulatory requirements
• Organize training/ briefing with business units to promote their awareness of the Group policy requirements
• Liaise with the First Line of Defence on the preparation of risk and compliance reporting to relevant management/ relevant authorities/ insurance principals
• Support the review and evaluation of commercial deals and new initiatives of the business units

To succeed in this role:

• University degree with a minimum of 3 to 5 years’ experience in risk management/regulatory compliance, preferably gained from the insurance industry
• Sound knowledge of relevant laws, regulations and guidelines, e.g. HKIA
• Proficient communication, interpersonal and stakeholder management skills
• Prior experience in engagement with regulators is preferred
• Knowledge of life insurance and general insurance products is a plus
• Self-motivated, independent team player with strong problem-solving skills
• Excellent command of written and spoken English and Chinese

If you have the desire for an exciting and rewarding career, please apply by sending your resume immediately, quoting your present and expected salary by clicking "Apply Now" or email to

For more information on other job opportunities of PCCW/HKT Corporate Functions, please visit our website. (

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal
• Industries Telecommunications

Referrals increase your chances of interviewing at HKT by 2x

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Wan Chai District, Hong Kong SAR 2 weeks ago

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3 days ago Be among the first 25 applicants

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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

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

3 days ago Be among the first 25 applicants

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

Continue with Google Continue with Google

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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

Referrals increase your chances of interviewing at Prudential Hong Kong by 2x

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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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Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Job level: Entry level

Start date: Immediate Start/July/September 2025

About This Role

The Research Compliance team is a dynamic and innovative function which enables the expansion of our fastest-growing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager based in Hong Kong and work alongside the Research teams to enable a safe end-to-end delivery of our Research products. You will also collaborate with the Legal and Client Protection teams, as well as a number of other stakeholders across the business. Your responsibilities include:

• Review expert profiles and project requirements for the delivery of expert knowledge to our clients by the Research team
• Format, proofread, and screen written output (transcripts) specifically to ensure that all information complies with AlphaSights’ legal and compliance policies and applicable regulatory requirements
• Work with the Research team and other stakeholders across the business to resolve any compliance flags
• Provide legal and compliance training to the Research team and other stakeholders
• Draft and maintain compliance policies for our Research services
  
  

• Fantastic proofreading experience and acute attention to detail
• Ability to effectively prioritize tasks, manage time, remain highly organized and swiftly execute within a fast-paced environment
• Persistence, drive, and a goal-focused mindset as you own projects from initiation to completion
  
  

• Bachelor's degree, with strong academic credentials in any field and noteworthy extracurricular leadership
• 0-1 year of work experience as a Compliance Associate, Legal Assistant, Paralegal, or similar roles. Recent graduates with high potential are also welcomed
• Track record of strong academic performance
• Extracurricular achievement throughout school and university
• Fluency in written and spoken English is essential. Fluency in a relevant foreign language is a plus
  
  

• Years 0–2: Our Research Compliance Associates are responsible for reviewing research to ensure it aligns with our legal and compliance framework and upholds company standards. They are dedicated to maintaining core compliance principles and ensuring all research meets AlphaSights’ and clients' expectations.
• Years 2+: As a Senior Research Compliance Associate, you’ll take ownership of key compliance initiatives while leading and mentoring team members to drive excellence.
• Years 3+: Research Compliance Managers oversee the compliance programme of the region, build and manage high performing teams independently, and drive innovations in our processes, policies and products.
  
  

• Competitive fixed annual base salary, plus opportunity to earn performance based bonus
• 15 days annual leave, six months full maternity leave, and six weeks full paternity leave
• Private medical & dental insurance, and annual health check-up
• Tax-advantaged housing allowance up to 50% of monthly base salary
• In office Monday to Thursday (option to WFH each Friday and four extra days/quarter)
• State-of-the-art office with amenities in the heart of Hong Kong
  
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal, General Business, and Other
• Industries Information Services

Referrals increase your chances of interviewing at AlphaSights by 2x

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Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Job level: Entry level
Start date: Immediate Start/July/September 2025
About This Role
The Research Compliance team is a dynamic and innovative function which enables the expansion of our fastest-growing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager based in Hong Kong and work alongside the Research teams to enable a safe end-to-end delivery of our Research products. You will also collaborate with the Legal and Client Protection teams, as well as a number of other stakeholders across the business. Your responsibilities include:

• Review expert profiles and project requirements for the delivery of expert knowledge to our clients by the Research team
• Format, proofread, and screen written output (transcripts) specifically to ensure that all information complies with AlphaSights’ legal and compliance policies and applicable regulatory requirements
• Work with the Research team and other stakeholders across the business to resolve any compliance flags
• Provide legal and compliance training to the Research team and other stakeholders
• Draft and maintain compliance policies for our Research services
  

• Fantastic proofreading experience and acute attention to detail
• Ability to effectively prioritize tasks, manage time, remain highly organized and swiftly execute within a fast-paced environment
• Persistence, drive, and a goal-focused mindset as you own projects from initiation to completion
  

• Bachelor's degree, with strong academic credentials in any field and noteworthy extracurricular leadership
• 0-1 year of work experience as a Compliance Associate, Legal Assistant, Paralegal, or similar roles. Recent graduates with high potential are also welcomed
• Track record of strong academic performance
• Extracurricular achievement throughout school and university
• Fluency in written and spoken English is essential. Fluency in a relevant foreign language is a plus
  

• Years 0–2: Our Research Compliance Associates are responsible for reviewing research to ensure it aligns with our legal and compliance framework and upholds company standards. They are dedicated to maintaining core compliance principles and ensuring all research meets AlphaSights’ and clients' expectations.
• Years 2+: As a Senior Research Compliance Associate, you’ll take ownership of key compliance initiatives while leading and mentoring team members to drive excellence.
• Years 3+: Research Compliance Managers oversee the compliance programme of the region, build and manage high performing teams independently, and drive innovations in our processes, policies and products.
  

• Competitive fixed annual base salary, plus opportunity to earn performance based bonus
• 15 days annual leave, six months full maternity leave, and six weeks full paternity leave
• Private medical & dental insurance, and annual health check-up
• Tax-advantaged housing allowance up to 50% of monthly base salary
• In office Monday to Thursday (option to WFH each Friday and four extra days/quarter)
• State-of-the-art office with amenities in the heart of Hong Kong
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal, General Business, and Other
• Industries Information Services

Referrals increase your chances of interviewing at AlphaSights by 2x

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Join to apply for the Senior Compliance Manager, Equities Compliance, Compliance role at CLSA .

This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and the Equities Derivatives Department.

Key Areas of Responsibilities

1. Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area.
2. New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
3. Compliance policies and procedures – Review and update compliance procedures as necessary. Develop new procedures considering regulatory or business changes.
4. Reviews and monitoring – Guide team members in conducting compliance monitoring to ensure ongoing compliance with key regulations.
5. Regulatory enquiry – Handle regulatory inquiries and manage relationships with regulators.
6. Training – Deliver compliance training to business units.

Requirements

• Master's degree or equivalent, preferably in business, accounting, or law.
• Minimum of 10 years relevant experience in compliance or internal audit within financial services, or with a securities exchange or regulator.
• Deep knowledge of Hong Kong regulatory and compliance requirements.
• Strong understanding of cash equities and equities derivatives businesses.
• Excellent analytical skills, detail-oriented.
• Effective communication skills; fluency in English, Cantonese, and Mandarin (advantageous).
• Team-oriented, dependable, self-motivated, with a strong ownership mentality.

• Director

• Full-time

• Finance

Join to apply for the Senior Compliance Manager, Equities Compliance, Compliance role at CLSA .

This senior Compliance position is part of the Equities Compliance team reporting into the Head of Equities Compliance. The team provides compliance coverage to CSI Institutional Equities (Sales and Trading) Business and the Equities Derivatives Department.

Key Areas of Responsibilities

• Advisory – Provide advice on regulatory interpretation and compliance issues in the coverage area.
• New business initiatives – Review and provide input to new business and infrastructure initiatives from a regulatory and best practice perspective.
• Compliance policies and procedures – Review and update compliance procedures as necessary. Develop new procedures considering regulatory or business changes.
• Reviews and monitoring – Guide team members in conducting compliance monitoring to ensure ongoing compliance with key regulations.
• Regulatory enquiry – Handle regulatory inquiries and manage relationships with regulators.
• Training – Deliver compliance training to business units.

Requirements

• Master's degree or equivalent, preferably in business, accounting, or law.
• Minimum of 10 years relevant experience in compliance or internal audit within financial services, or with a securities exchange or regulator.
• Deep knowledge of Hong Kong regulatory and compliance requirements.
• Strong understanding of cash equities and equities derivatives businesses.
• Excellent analytical skills, detail-oriented.
• Effective communication skills; fluency in English, Cantonese, and Mandarin (advantageous).
• Team-oriented, dependable, self-motivated, with a strong ownership mentality.

• Director

• Full-time

• Finance