锦鲤求职岗位描述
Key responsibilities
Lead and oversee the full spectrum of compliance and regulatory functions for the licensed corporation, ensuring full alignment with SFC requirements, the Securities and Futures Ordinance (SFO), and relevant industry codes/guidelines
Act as a primary liaison with the Securities and Futures Commission (SFC), external auditors, legal counsel, and other regulatory bodies
Direct and manage regulatory filings, licensing matters, WINGS submissions, BRMQ, and annual returns
Lead the preparation and coordination for SFC regulatory inspections and inquiries
Provide end-to-end compliance oversight for asset management products, including HK LPF, OFC, and offshore private fund structures (e.g., Cayman, BVI)
Oversee investment and trading activities, personal account dealing, information barriers, restricted lists, and investment constraint monitoring
Supervise compliance controls over securities trading, client onboarding, market misconduct monitoring, and suitability assessment for retail and professional investors
Lead the AML/CFT and financial crime compliance framework, including high-risk client onboarding (EDD), sanctions screening, complex transaction monitoring, and STR escalations
Establish, review, and update compliance manuals, AML policies, operational workflows, and internal control frameworks in response to evolving regulatory standards
Provide authoritative compliance advice to senior management and business units on new business initiatives, product developments, and complex operational changes
About you
Bachelor's degree or above in Law, Finance, Business Administration or a related discipline
Minimum 10 years of solid compliance experience gained within securities brokerages or licensed corporations (SFC Type 1 ,2,4,6 & Type 9).
Working knowledge of the Securities and Futures Ordinance, relevant SFC Codes and Guidelines, and Hong Kong regulatory requirements applicable to licensed corporations
Practical experience in AML / CFT, KYC onboarding, client due diligence and ongoing monitoring
Experience in preparing regulatory filings, maintaining compliance policies and supporting regulatory inspections is preferred
Strong leadership skills, excellent judgment, and the ability to work independently under high-pressure, fast-paced environments
Good interpersonal and communication skills, with strong written and spoken English and Chinese; Mandarin proficiency is preferred