• Trading Platform & Broker-Dealer Compliance
• Experience within a licensed brokerage firm
• Immediately available or on short notice

Our Client 

Our client is a leading global fintech trading platform expanding. To support their rapid growth in Hong Kong, they are seeking a high-caliber compliance professional to lead their regulatory framework, protect their platform from financial crime, and act as a trusted advisor to their business leadership team.

Role Purpose

You will oversee daily regulatory operations, spearhead AML/KYC protocols, and manage relationships with local regulators to ensure our fast-paced fintech operations remain fully compliant with Hong Kong laws.

Key Responsibilities

• Act as the primary point of contact for local regulatory bodies, managing license applications, mandatory surveys, and formal enquiries.
• Provide clear, actionable compliance guidance to business units and product teams regarding transactions, new product launches, and operational processes.
• Oversee transaction monitoring and trade surveillance systems to detect and prevent market misconduct, insider trading, and market manipulation.
• Lead complex AML/KYC workflows, high-risk customer due diligence (CDD), and periodic account reviews for both institutional and retail clients.
• Establish, execute, and refine compliance testing programs, including regular audits of staff dealing activities and internal controls.
• Provide expert guidance on global tax compliance frameworks, specifically FATCA and CRS reporting requirements.
• Conduct deep-dive investigations into suspicious activities and draft clear, comprehensive Suspicious Transaction Reports (STRs) when necessary.

Requirements

• Bachelor’s degree or higher in Law, Finance, Business Administration, or a related discipline.
• 5+ years of solid legal and compliance experience within a licensed brokerage firm, investment bank, or a financial regulator (e.g., SFC).
• Fluent in English, Cantonese, and Putonghua (both written and spoken).
• Deep understanding of the Securities and Futures Ordinance (SFO), SFC codes, and AML/CFT guidelines.
• Exceptional communication skills, a proactive attitude, and the resilience to thrive in a high-pressure, fast-moving fintech environment.

Interested parties, please send your updated resume to neha.thapa@manpowergrc.hk