Compliance Manager

About Us Longbridge is an AI-Powered online brokerage that serves global investors with optimal trading experiences through building worldwide trading infrastructure and networks. Established in March 2019, Longbridge holds 22 financial licenses and qualifications across the United States, Singapore, Hong Kong, New Zealand and other regions, having secured over US $150 million in strategic investments from major financial and investment institutions. Its subsidiary, Longbridge Securities (Hong Kong) Limited (CE No.: BPX066), holds Type 1, 2, 4, and 9 licenses issued by the Hong Kong Securities and Futures Commission (SFC)

Key Responsibilities

• Identify and assess compliance risks associated with the company's development initiatives and daily operations.
• Stay updated on new or revised regulatory rules and legal requirements relevant to various business units.
• Review and approve marketing materials and communications to ensure alignment with regulatory standards.
• Monitor and track remedial actions arising from compliance monitoring activities, ensuring timely resolution of issues.
• Deliver in-house compliance training to enhance staff awareness of regulatory requirements and best practices.
• Participate in new product development and undertake ad-hoc projects as required.

Requirements

• Bachelor's degree in Finance, Accounting, Law, Risk Management, or related disciplines.
• Minimum 5 years of relevant experience in the finance and banking industry. Experience in professional services firm is a bonus.
• Strong knowledge of SFC rules and regulations pertaining to Type 1, 2, 4, and 9 regulated activities.
• Proficiency in MS Office applications (Excel, PowerPoint, Word) and Chinese word processing software.
• Highly independent, self-motivated, and adaptable.
• Excellent command of written and spoken English and Cantonese; proficiency in Putonghua required.