Compliance Manager: SFC Regulations

SFC Responsible Officers (RO) (Virtual Asset Management / Trading) RO of SFC Type (1/2/3/4/5/6/7/8/9/10) Responsible Officers (RO) 1.1 Job Highlights Virtual Asset Management / Virtual Currency Trading related experience preferred Current holders of unconditional RO preferred Current Rep with enough experience considered Min 3 years industry experience Full...

KYC/CDD Associate/Manager, SFC Regulated Int’l Financial Institutions SFC Regulated Global Asset Manager KYC/CDD/AML for New & Periodic Review Friendly International Culture & Good Hours Our Client Appointed by the most respectable SFC regulated Global Asset Manager, hiring 600 investment professionals across 20 countries worldwide with total AUM of over...

A prominent security firm in Hong Kong is seeking a qualified Responsible Officer (RO) to manage compliance with SFC regulations and oversee investment projects. This role involves ensuring adherence to laws, monitoring trading activities, and strengthening client relationships. The ideal candidate will have at least 4 years of relevant experience in the...

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 leading financial institution seeks a Senior Compliance Manager in Hong Kong to oversee regulatory compliance, provide advice to management, and manage relationships with local regulators. The ideal candidate will have over 10 years of experience in a similar role within commercial banking, excellent knowledge of HKMA and SFC regulations, and strong...

A global asset management firm in Hong Kong is looking for a Head of Compliance. This senior role involves managing a compliance team and being the main contact with the SFC regulator. The ideal candidate will have 8-10 years of experience in compliance within asset management, proficiency in ETF funds, and fluency in English. A collaborative company culture...

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...

Senior Compliance Officer - Large Chinese Firm, SFC 149 Our client is looking for a talented compliance professional looking to make a significant impact in the financial industry. Join our esteemed Chinese firm with a SFC 149 license as a Senior Compliance Officer. Responsibilities Drafting and implementing a robust compliance framework to ensure regulatory...

A global asset management firm based in Hong Kong is seeking a Head of Compliance to lead compliance efforts with the SFC regulator. The ideal candidate will have 8-10 years of asset management compliance experience, including strong knowledge of ETF funds and a proven record in regulatory liaison. This senior role offers a collaborative work environment and...

A leading financial services firm in Hong Kong is searching for a skilled SFC Responsible Officer (Type 1, 4 & 9) to oversee regulatory compliance and support business growth. The ideal candidate will possess a deep understanding of SFC regulations and demonstrated leadership in compliance roles. Responsibilities include managing trading operations and...