Our client, a pioneering virtual bank based in Hong Kong, is renowned for its innovative and stellar banking services. They offer a range of services including high-interest savings deposits and expedited mobile account opening procedures. As part of their strategic expansion into the securities and global market sectors, they are currently seeking a seasoned Compliance Manager. The ideal candidate will bring a wealth of experience in SFC type 1 and 4 licensing.


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.

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.
  • 3-6 years of experience in a broker, securities firm, or global markets department.
  • 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.
Job Functions: Banking / Financial Services / Insurance Legal / Governance / Risk / Compliance
Job Type: Full Time

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