● Develop, implement, and maintain a robust compliance framework in line with SFC regulations, including but not limited to Type 4 (Advising on Securities) and Type 9 (Asset Management) licensed activities.
● Monitor and interpret new and existing regulatory requirements, ensuring timely updates to policies and procedures.
● Conduct gap analyses and risk assessments to identify compliance weaknesses and implement corrective actions.

Regulatory Liaison & Reporting:

● Act as the primary compliance representative for all regulatory interactions, including SFC inquiries, on-site inspections, and ad-hoc reporting.
● Prepare and submit license applications, variations, and renewals in accordance with SFC requirements.
● Establish and enforce anti-money laundering (AML), counter-terrorist financing (CTF), and sanctions compliance programs.

Monitoring & Internal Controls:

● Conduct regular compliance reviews and internal audits to assess adherence to policies and regulatory requirements.
● Implement surveillance and monitoring tools to detect potential breaches (e.g., market abuse, unauthorized trading).
● Investigate and resolve compliance breaches, complaints, or irregularities, reporting findings to senior management and regulators when necessary.

● Bachelor’s degree in Law, Finance, Business, or related disciplines
● 6+ years of compliance experience within an SFC-licensed corporation, with strong exposure to Type 4 and Type 9 activities.
● In-depth knowledge of SFC rules (e.g., Code of Conduct, Fund Manager Code of Conduct, AML/CFT guidelines)
● Proven track record in managing SFC inspections, licensing applications, and regulatory filings.
● Experience in conducting compliance audits, risk assessments, and implementing remediation plans.
● Strong analytical and problem-solving skills, with the ability to interpret complex regulatory texts and apply them practically.
● Excellent communication and interpersonal skills, capable of engaging with regulators, senior management, and cross-functional teams.
● Professional certifications such as CAMS (Certified Anti-Money Laundering Specialist), CPA, FRM, or ACIB are highly desirable.
● Fluency in English and Chinese (Cantonese/Mandarin) is required for regulatory correspondence and internal communication.