Compliance Consultant/ Compliance VP (Wealth Management, Securities & Insurance)

Our client, a pioneering banking, securities and wealth management group based in Hong Kong, and is renowned for its innovative and stellar banking services. As part of their strategic expansion into the securities, insurance and wealth management arenas, they are currently seeking an experienced Compliance Manager or Compliance Consultant with good understanding of the SFC Licensing processes for SFC Types 1,4 (and type 9) licensed activities.The ideal candidate does not need experience but confidence to learn SFC type 1 and 4 licensing and be confident to liaise with Compliance Consultants to improve the internal Compliance Framework. Mandarin/Cantonese is essential.

Ideal Background:

You will be a confident, mature-minded and independent compliance professional, having worked in either a compliance consultancy or as part of a small compliance team/ sole compliance role capacity for an SFC Licensed 1,4 , Securities or  Wealth Management house where you are confident to learn. You will be open to learning wealth management products such as Insurance, protection and wealth creation funds products too.     

With this banking, securities and wealth management group – which is at the forefront of utilising technology and mobile applications to better serve their clients, you will join a larger firm, with a well resourced  Compliance, Risk, AML and Financial Crime teams where you will act as team head for securities and welath management products.   

Key Responsibilities:

General Compliance:

  • Oversee licensing arrangements, notifications, FRR filing, and staff dealing activities monitoring in accordance with SFC and HKMA requirements.
  • Offer compliance advice on daily business operations.
  • Update compliance manuals, policies, and procedures and assist in executing compliance monitoring programs.
  • Manage control room functions such as wall-crossing, watch/restricted list, and research reports review.
  • Conduct compliance training sessions.


  • Conduct due-diligence checks on new client onboarding, including documentation review and risk assessment in accordance with local and relevant overseas jurisdictions, FATCA, and CRS handling.
  • Report suspicious transactions to JFIU.
  • Provide staff AML training and monitoring.

Project Management:

  • Set up new office, including new license application (Type 1 and 4), and set up securities lending service, equity execution platform, and investment advisory desks.
  • Handle SFC inspection.
  • Support the Regulatory Compliance Team and manage system projects related to FATCA/CRS.
  • Provide compliance advice to various business units, ensuring the Bank’s compliance with legal and regulatory requirements.
  • requirements of Disclosure of Interests under SFO and the relevant SFC Codes, and handle relevant conflict clearance.


  • Degree holder in a related discipline.
  • Minimum 4-7 years of experience in a compliance consultancy, small broker, securities, wealth management firm, or compliance team member of an online brokerage.
  • Solid experience with SFC type 1 and 4 licensing.
  • Proficiency in Mandarin speaking and Chinese writing is preferred.
  • Familiarity with FATCA/CRS requirements is a plus.
  • Excellent interpersonal and communication skills.

Preference will be given to those that come from a compliance consultancy, small broker, securities, wealth management firm, or compliance team member of an online brokerage,and is immediately available.

For a confidential discussion, please send your up to date rsume in English to:


Please feel free to enquire with Terry Au or Kora Ma on +852 2523 9955

Harbridge Partners Limited – HK EEA Licence: 71892

Job Functions: Legal / Governance / Risk / Compliance
Job Type: Full Time
Years of Experience: 4 Years

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