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Compliance Analyst
2 weeks ago
Optima Partners is a global regulatory compliance advisory and consulting firm with offices in Hong Kong, Singapore, New York, London, Chicago, Los Angeles, San Francisco, and the UAE. We provide advisory and consulting services to hedge fund and private equity fund managers, broker‑dealers, and investment banks. Position Summary We are seeking a highly motivated and detail-oriented Compliance Analyst to join our Hong Kong office. This is an entry‑level role designed for recent graduates or early‑career professionals looking to build a career in financial compliance and regulation. You will participate in a two‑year hands‑on training program, working alongside experienced consultants, and gaining exposure to compliance topics across Hong Kong’s investment management industry, with opportunities to learn about global regulations (SEC, CFTC, FCA) as they apply to our client base. This full‑time, on‑site position is based in Hong Kong; competitive compensation will be offered based on qualifications and experience. Key Responsibilities Monitor expert network interactions and employee personal trading activity. Review and archive employee communications (email/chat) in accordance with SFC record‑keeping requirements. Maintain employee disclosure forms and assist clients with organizing regulatory books and records in line with Hong Kong Securities and Futures Commission (SFC) requirements. Conduct periodic forensic testing on personal trading, political contributions, gifts and entertainment, and outside business activities. Assist in drafting and updating compliance manuals, codes of ethics, and other key documentation tailored to SFC/HKMA regulations. Contribute to annual compliance reviews and mock SFC regulatory inspections. Assist with preparing and submitting licensing applications and notifications to the SFC for corporations and licensed representatives. Prepare and file required periodic regulatory submissions with the SFC, e.g., annual returns, notifications of changes. Support clients during SFC regulatory inspections, enquiries, and thematic reviews. Requirements Bachelor’s degree from an accredited university (Finance, Law, Business, or related fields preferred). Legally authorised to work in Hong Kong. Excellent written and verbal communication skills in English; Cantonese and/or Mandarin proficiency is a plus. Strong organisational skills, with a high level of attention to detail. Analytical thinker with a proactive and solutions‑oriented approach. Ability to manage multiple tasks and deadlines in a fast‑paced environment. Strong interest in the investment management industry and financial regulation. High‑performing analysts may be promoted to Senior Analyst in less than a year, and to Associate ahead of the two‑year mark, with progression based on merit and demonstrated capability. Our Commitment Optima Partners is committed to providing equal opportunities in employment. We do not discriminate based on gender, gender identity, race, religion, colour, nationality, ethnic origin, sexual orientation, marital status, age, disability, or any other protected characteristic. Job Details Seniority level: Entry level Employment type: Full‑time Job function: Analyst, Legal, and Finance Industries: Financial Services and Business Consulting and Services #J-18808-Ljbffr
