Compliance Manager 合規經理

"Balance" is a developing financial institution focused on asset management , currently applying for licenses from the Hong Kong Securities and Futures Commission (Types 4 and 9). We are committed to providing clients with diversified and professional investment solutions. Our major shareholder is Futu Holdings (NASDAQ: FUTU) , a leading Hong Kong fintech company and licensed brokerage firm, and a NASDAQ-listed company. Leveraging our shareholder's strong technological background and market resources, Balance is actively building an asset management platform that combines local roots with an international perspective. We value talent, compliance, and technological development, and are committed to creating an efficient, transparent, and professional work environment. At this critical stage of business expansion, we offer attractive career development paths and growth opportunities, and sincerely invite like‑minded professionals to join us on a path to long‑term sustainable development. Compliance Manager Responsibilities Develop and maintain compliance policies/procedures in line with SFC, HKMA, and international regulations. Monitor daily operations, identify and report underlying risks. Conduct compliance training, update code of conduct, and internal control guidelines. Manage regulatory inquiries and on‑site inspections; coordinate audits with external counsel. Review marketing materials, client agreements, and investment strategies for regulatory compliance. Lead AML investigations, file suspicious transaction reports (STRs), maintain KYC/CDD records. Track regulatory updates and drive process improvements. Requirements Bachelor’s degree in Law, Finance, Accounting, or related field; CAMS/CFE/legal qualification preferred. 3+ years in compliance management experience in Hong Kong public funds, expertise in asset management regulations. Deep knowledge of AML, KYC, data privacy (GDPR/PDPO), and hands‑on experience in regulatory examinations. Fluent in English and Cantonese; skilled in bilingual reporting and liaising with regulators (SFC/HKMA). Strong analytical skills, cross‑department collaboration. #J-18808-Ljbffr