Junior Compliance Consultant — SFC Licensing

ComplianceConsulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset...

A financial institution in Hong Kong is seeking a Responsible Officer with SFC licensing expertise to lead the application for SFC Type 1, 4, and 9 licenses. The ideal candidate will have at least 5 years of experience in securities and asset management, demonstrating strong project management and understanding of regulatory frameworks. Fluency in English...

A financial institution in Hong Kong is seeking a Responsible Officer to lead the application process for SFC Type 1 licenses. The ideal candidate must have a minimum of 5 years' experience in securities and asset management and be currently accredited by SFC. Responsibilities include preparing documentation for compliance, developing internal controls, and...

Recruiting Position: Associate Compliance Consultant Level: Junior to Middle Level Company Background Greeting! ComplianceOne Consulting Limited (ComplianceOne ) is one of the most reputable consulting firms specializing in regulatory compliance from Hong Kong. In the past eight years, we have accumulated dozens of successful licensing cases under the...

SFC Responsible Officer Type 6 with PS license Responsible for overseeing corporate finance transactions and ensuring compliance with regulatory and internal policies. Job Responsibilities Manages and leads the execution of IPO sponsor, FA, IFA and other corporate finance transactions, including project management/coordination, due diligence and project...

A financial services company in Hong Kong is seeking a Senior Compliance Officer to manage SFC licensing matters, support regulatory investigations, and conduct AML reviews. The role requires a Bachelor’s degree in a relevant field, 1-3 years of compliance experience, and proficiency in English and Chinese, with Mandarin preferred. Strong organizational...

A consulting firm in Hong Kong is seeking a Responsible Officer (SFC) to assist with SFC license applications and oversee compliance with regulations. The ideal candidate will have a minimum of 5 years of experience in SFC licensed firms and hold a relevant Responsible Officer license. Key responsibilities include managing daily operations and acting as the...

A financial services firm in Hong Kong is seeking a qualified individual to report directly to the CEO. This role involves supervising regulated activities, developing business strategies, and ensuring compliance with local regulations. Candidates must have a university degree in Banking or Finance, a minimum of 5 years in the financial industry, and possess...

A financial services firm in Hong Kong is seeking a qualified SFC Responsible Officer to oversee regulatory compliance in virtual asset management and trading. The ideal candidate will have at least 5 years of relevant experience in asset management, preferably with a current SFC license. Strong analytical, leadership, and interpersonal skills are essential,...

A consulting firm in Hong Kong is seeking a Responsible Officer to manage compliance functions and operations. The candidate must hold an SFC license for regulated activities and have 3-5 years' experience in asset management. Responsibilities include advising top management and implementing business strategies. Required skills include strong analytical,...