What Jobs are available for Regulatory Support in Hong Kong?

Responsibilities

• Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management
• Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
• Assist to formulate the compliance program and conduct the compliance review
• Prepare compliance training materials
• Assist in end-to-end investigation on Clients' Complaints and self-escalated misconduct including the investigation report
• Assist in other compliance related tasks as assigned

Qualifications

• University degree
• At least 2 years or relevant experience in SFC licensed corporation
• Familiar with the SFC rules and regulations and industry practices
• Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
• Fluent in Mandarin, English and Cantonese

Responsibilities

• Support the regulatory compliance function covering licensing and the regulated activities including the investment and insurance distribution activities and asset management
• Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
• Assist to formulate the compliance program and conduct the compliance review
• Prepare compliance training materials
• Assist in end-to-end investigation on Clients' Complaints and self-escalated misconduct including the investigation report
• Assist in other compliance related tasks as assigned

Qualifications

• University degree
• At least 2 years or relevant experience in SFC licensed corporation
• Familiar with the SFC rules and regulations and industry practices
• Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines
• Fluent in Mandarin, English and Cantonese

Lead regulatory compliance at a fast-growing fintech with regional licensing across Asia.

Your new company

This opportunity is with a fast-growing fintech firm headquartered in Asia, offering innovative payment and financial solutions to businesses across the region. The company is expanding its footprint and has obtained key regulatory approvals, including licensing for virtual asset trading and payment services. With a strong focus on compliance and governance, the organization is committed to building a secure and transparent financial ecosystem.

Your new role

As the Regulatory Compliance VP, you will:

• Oversee regulatory compliance across multiple jurisdictions, including Hong Kong and Singapore.
• Manage licensing processes and regulatory relationships, particularly with SFC and VATP-related frameworks.
• Develop and maintain internal compliance policies and procedures aligned with evolving regulatory requirements.
• Lead internal audits, gap analyses, and remediation efforts.
• Support product development and business expansion from a compliance perspective.

What you'll need to succeed

• Proven experience in regulatory compliance within fintech, virtual asset platforms, or licensed financial institutions.
• Strong understanding of SFC licensing, VATP regulations, and regional compliance frameworks.
• Familiarity with AML, KYC, and financial crime prevention standards.
• Excellent communication and stakeholder management skills.
• Fluency in English; Cantonese or Mandarin is a plus.

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.

Our client is seeking a highly motivated and experienced professional in the Regulatory Compliance and Inspection function. This role is ideal for someone with a strong compliance background, particularly in the securities or brokerage industry, and hands-on experience in enforcement, inspections, and trading rules. The successful candidate will be responsible for ensuring regulatory adherence, managing inspections, and promoting a culture of ethical conduct and compliance through training and market education.

Key Responsibilities

• Lead the development, implementation, and oversight of the company's compliance and market conduct framework.
• Ensure full compliance with all applicable laws, regulations, and internal policies, particularly those governing the secondary market.
• Conduct inspections and compliance risk assessments and manage regulatory inquiries and enforcement-related matters.
• Oversee and enforce rules related to trading activities, ensuring alignment with market conduct standards.
• Act as the primary liaison with regulatory bodies, handling inspections and regulatory reviews.
• Provide expert guidance to business units on compliance issues and regulatory developments.
• Handle compliance cases independently, from investigation to resolution.
• Monitor and report on compliance breaches, recommending and tracking corrective actions.

Qualifications and Skills

• Must be CPA certified.
• Minimum of 3 – 5 years of experience in compliance, audit, or regulatory roles, preferably within the securities or brokerage industry.
• Solid understanding of regulatory frameworks, market conduct standards, and secondary market enforcement.
• Experience in HKEX, SCO, SFC guidelines.
• Proven experience in handling inspections, case management, and trading rules enforcement.
• Hands-on experience in data analysis using Tableau or similar visualization platforms.
• Strong communication skills in Cantonese, English, and Mandarin

Please visit Adecco website with the below link for application:

Please note that only shortlisted candidates will be notified.  All information gathered will be treated in strictly confidential and solely used for recruitment purpose.

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

Job Requirements

• Degree holder in related disciplines
• Have over 8 years working experience with at least 5 years in product compliance area in life insurance industry is a must
• 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)

Prudential is an equal opportunity employer.
We provide equality of opportunity of benefits for all who apply and who perform work for our organisation irrespective of sex, race, age, ethnic origin, educational, social and cultural background, marital status, pregnancy and maternity, religion or belief, disability or part-time / fixed-term work, or any other status protected by applicable law. We encourage the same standards from our recruitment and third-party suppliers taking into account the context of grade, job and location. We also allow for reasonable adjustments to support people with individual physical or mental health requirements.

An exciting opportunity with a leading financial services firm, and they are seeking a regulatory compliance candidate to join their team.

Job Responsibilities:

• Assist in the daily operations of business compliance activities.
• Assist in handling license applications.
• Contribute to the development and enhancement of the company's compliance management system, including improving compliance data, updating reports, and disseminating information.
• Perform Compliance checking, monitoring and review.
• Assist in formulating and maintaining Compliance policies and procedures.
• Facilitate communication and coordination across different departments.

Qualifications:

• Bachelor's degree or higher with at least 2 years of relevant work experience.
• Basic knowledge of the Hong Kong financial market.
• Strong logical thinking skills, along with excellent analytical and processing abilities; able to handle pressure effectively.
• Proficient in Microsoft Office applications, especially Word, Excel, and PowerPoint.
• Bilingual in Chinese (Mandarin) and English.

Responsibilities:

• Identify crypto-friendly jurisdictions and lead the licensing and registration processes for the APEC region and beyond.
• Engage with regulators in key jurisdictions such as Dubai, and Europe (e.g., FCA, BaFin, VARA), demonstrating experience interacting with these bodies.
• Stay informed about the rapidly changing global crypto regulations, assessing and analyzing their impact for senior management.
• Develop and communicate licensing and registration strategies, clearly outlining implications for the business and leadership.
• Serve as the primary project manager, coordinating with external consultants and legal advisers throughout the licensing process.
• Draft, review, and update Compliance Manuals to align with regulatory requirements and licensing activities.
• Manage regulatory submissions and respond to inquiries from authorities.
• Conduct ongoing compliance checks and monitoring to ensure adherence to relevant regulations.
• Design workflows and processes to support operational compliance.

Requirements
:

• Bachelor's degree in Accounting, Banking, Business, or Law.
• Minimum of 5 years' relevant experience in regulatory compliance and licensing roles within financial institutions, particularly in crypto, banking, tech, startups, e-commerce, or payments.
• Strong connections with legal consulting firms across different jurisdictions for crypto licensing applications.
• Proven success in obtaining crypto licenses in various regions.
• Ability to draft policies related to license applications when required.
• Excellent project management capabilities.
• Strong communication and interpersonal skills.
• Analytical mindset with strong problem-solving abilities and meticulous attention to detail.
• Proficient in English, both written and spoken.
• Good command of Chinese and Mandarin, written and spoken.
• A proactive self-starter with an entrepreneurial spirit, comfortable in a fast-paced, high-energy tech startup environment.

Lead regulatory compliance at a fast-growing fintech with regional licensing across Asia.

Your new company

This opportunity is with a fast-growing fintech firm headquartered in Asia, offering innovative payment and financial solutions to businesses across the region. The company is expanding its footprint and has obtained key regulatory approvals, including licensing for virtual asset trading and payment services. With a strong focus on compliance and governance, the organization is committed to building a secure and transparent financial ecosystem.

Your new role

As the Regulatory Compliance VP, you will:

• Oversee regulatory compliance across multiple jurisdictions, including Hong Kong and Singapore.
• Manage licensing processes and regulatory relationships, particularly with SFC and VATP-related frameworks.
• Develop and maintain internal compliance policies and procedures aligned with evolving regulatory requirements.
• Lead internal audits, gap analyses, and remediation efforts.
• Support product development and business expansion from a compliance perspective.

What you'll need to succeed

• Proven experience in regulatory compliance within fintech, virtual asset platforms, or licensed financial institutions.
• Strong understanding of SFC licensing, VATP regulations, and regional compliance frameworks.
• Familiarity with AML, KYC, and financial crime prevention standards.
• Excellent communication and stakeholder management skills.
• Fluency in English; Cantonese or Mandarin is a plus.

What you need to do now

If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to

If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.

Key Responsibilities and Duties

• Report to Head of Regulatory Compliance
• Provide timely advice on the regulatory compliance related matters
• Support the regulatory compliance function covering regulated activities
• Keep track of regulatory updates, establish and maintain regulatory register and identify gaps
• Advise, review and manage regulatory submissions, notifications and communications, ensure timeliness, quality and proper record keeping
• Assist to formulate the compliance program and conduct the compliance review
• Act as second line of defense and provide constructive challenge to relevant stakeholders
• Manage relationship with internal audit and regulator
• Assist in other compliance related tasks as assigned

Experience, Qualifications and Skills

• Bachelor degree holder or above
• At least 5 years' relevant experience
• Solid knowledge in the banking and regulated activities
• Attention to details
• Good command of English and Chinese

Personal information collected is strictly for recruitment purpose only.