證券合規經理

Compliance Manager｜SFC 第1、4及9類受規管業務

青獅國際證券有限公司現誠聘一名具備香港持牌法團經驗的證券合規經理，負責支援公司第1類（證券交易）、第4類（就證券提供意見）及第9類（提供資產管理）受規管業務的合規管理工作。此職位適合熟悉香港證券市場監管要求、具備良好風險判斷能力，並希望在持續發展的金融服務平台上拓展專業經驗的人士。

全職｜尖沙咀｜星期一至五｜3年或以上經驗｜本科或以上學歷

主要職責

• 建立、完善及持續更新公司合規制度、內部監控流程及操作指引。

• 為第1、4及9類受規管業務提供日常合規意見及風險管理支援。

• 負責客戶開戶、KYC、AML/CFT、制裁篩查及持續客戶盡職審查。

• 審核客戶協議、市場推廣材料、風險披露文件、新產品及合作方案。

• 處理員工牌照申請、牌照變更、持續專業培訓（CPT）及監管申報。

• 開展合規監察、交易監控、內部檢查、利益衝突管理及投訴處理。

• 協助處理財政資源規則（FRR）相關合規事項。

• 負責與香港證監會及其他監管機構的日常溝通，協助處理監管查詢及現場檢查。

• 為管理層及業務團隊提供合規培訓和專業建議。

職位要求

• 法律、金融、會計、經濟或相關專業本科或以上學歷。

• 具備3年或以上香港持牌法團合規、風險管理或監管相關工作經驗。

• 熟悉香港《證券及期貨條例》、香港證監會《操守準則》及相關監管要求。

• 熟悉第1、4及9類受規管業務，以及KYC、AML/CFT和資產管理合規流程。

• 能夠獨立處理合規審查、牌照事務、監管申報及證監會溝通工作。

• 工作嚴謹、責任心強，具備良好的風險意識、分析能力及溝通能力。

• 具備良好的中英文書面及口頭表達能力；能使用粵語、普通話及英語者優先。

• 持有香港合法工作資格，可於香港全職辦公。

工作安排及待遇

**工作地點：**香港九龍尖沙咀

**聘用形式：**全職、辦公室工作

**工作時間：**星期一至五，09:00–18:00

**經驗要求：**3年或以上相關工作經驗

**學歷要求：**本科或以上學歷

**薪酬待遇：**具競爭力，根據相關經驗及能力面議

**職位福利：**五天工作周、專業培訓及職業發展機會

COMPLIANCE MANAGER

SFC Types 1, 4 & 9 Regulated Activities

Azure Lion International Securities Co., Ltd. is seeking an experienced Compliance Manager to support the compliance and regulatory management of our Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) regulated activities.

The role is suitable for a compliance professional with experience in a Hong Kong licensed corporation, sound regulatory judgement and an interest in developing with a growing financial services platform.

Full-time | Tsim Sha Tsui | Monday to Friday | 3+ years' experience | Bachelor's degree or above

Key Responsibilities

• Develop, maintain and enhance the company's compliance framework, internal controls, policies and procedures.

• Provide day-to-day compliance advice for SFC Type 1, Type 4 and Type 9 regulated activities.

• Oversee client onboarding, KYC, AML/CFT, sanctions screening and ongoing customer due diligence.

• Review client agreements, marketing materials, risk disclosures, new products and business initiatives.

• Manage licensing applications, licence variations, Continuing Professional Training (CPT) records and regulatory filings.

• Conduct compliance monitoring, transaction surveillance, internal reviews and risk assessments.

• Manage potential conflicts of interest, compliance incidents and client complaints.

• Support compliance matters relating to the Financial Resources Rules (FRR).

• Liaise with the Securities and Futures Commission and other relevant regulators, including handling regulatory enquiries and inspections.

• Provide compliance guidance and training to management and business teams.

Requirements

• Bachelor's degree or above in Law, Finance, Accounting, Economics or a related discipline.

• At least three years of compliance, risk management or regulatory experience within a Hong Kong licensed corporation.

• Sound knowledge of the Securities and Futures Ordinance, the SFC Code of Conduct and other applicable regulatory requirements.

• Familiarity with Type 1, Type 4 and Type 9 regulated activities, KYC, AML/CFT and asset management compliance.

• Ability to independently manage compliance reviews, licensing matters, regulatory filings and communications with the SFC.

• Strong analytical skills, professional judgement, attention to detail and risk awareness.

• Excellent written and spoken English and Chinese; proficiency in Cantonese and Mandarin is preferred.

• Eligible to work in Hong Kong and available for full-time, office-based employment.

Employment Details and Benefits

Location: Tsim Sha Tsui, Kowloon, Hong Kong

Employment Type: Full-time, office-based

Working Hours: Monday to Friday, 09:00–18:00

Experience: At least three years of relevant experience

Education: Bachelor's degree or above

Remuneration: Competitive and negotiable, commensurate with experience and qualifications

Benefits: Five-day work week, professional training and career development opportunities