Officer, Compliance

Opportunity for candidates without relevant experience to establish a career in the financial compliance field Promotion prospect will be offered to good performers to the role of Assistant Compliance Consultant Job Responsibilities Assisting compliance consultants to handle filings with the regulators e.g. Securities and Futures Commission Handling...

A financial compliance firm in Hong Kong is offering an opportunity for candidates without relevant experience to establish a career in the financial compliance field as an Assistant Compliance Consultant. The role encompasses assisting compliance consultants with regulatory filings, handling administrative tasks, and developing training materials. Good...

Senior Client Onboarding Officer Company: Compliance Commit Consulting Ltd, a Type 1&2 broker headquartered in Europe. Job Duties Reports directly to the Onboarding Team Lead located in Europe. Manage the client onboarding process. Manage and facilitate comprehensive client due diligence (CDD) and conduct Enhanced Due Diligence (EDD) on complex cases,...

Senior Compliance Officer / Compliance Officer Manage SFC licensing matters, including but not limited to delisting and relisting applications. Support the handling of regulatory investigations and surveys received from regulators. Coordinate internal and external CPT monitoring activities. Review third-party deposit and withdrawal applications from business...

Chief Compliance Officer / Senior Compliance Officer Develop, implement, and maintain a comprehensive enterprise-wide compliance management framework. Ensure compliance with all relevant laws, including the HKMA's guidelines, AMLO (AML/CFT), Personal Data (Privacy) Ordinance, and SFC guidelines. Act as the Money Laundering Reporting Officer (MLRO) for the...

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,...

Apricot Capital (Hong Kong) Limited is seeking an experienced and hands‑on Compliance Officer to join our international team. In this full‑time role, you will play a crucial part in ensuring the firm's compliance with relevant banking and financial services regulations and internal policies. Key Responsibilities: Monitoring and reviewing the...

Compliance Officer Monitor and ensure compliance with all applicable laws, regulations, and guidelines issued by the Hong Kong Insurance Authority (IA), MPFA and other regulators. Perform KYC checks and ongoing monitoring to verify client identities, assess risks, and maintain accurate records. Develop and maintain internal compliance policies and frameworks...

We are looking for a Compliance Officer to help strengthen our compliance framework and uphold the highest standards of integrity within our global trading operations. You will be instrumental in cultivating a robust compliance mindset across teams and safeguarding alignment with both regulatory obligations and internal frameworks. What You’ll Do Keep...

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...