Compliance Manager (Fargo Space)

About the Role: We are seeking an experienced Compliance Manager to oversee regulatory compliance frameworks, mitigate risks, and ensure adherence to financial regulations across the company’s licensed entity. This role requires a strategic thinker with deep expertise in SFC/regulatory requirements, capable of leading compliance initiatives and mentoring junior teams.

Key Responsibilities:

1. Regulatory Compliance & Risk Management:

• Act as the primary point of contact for SFC and other regulatory bodies, ensuring compliance with Type 4/9 licensed activities and evolving regulations
• Design, implement, and enhance compliance policies, controls, and monitoring systems to mitigate operational and trading risks.
• MIC of Compliance; AML&CFT

2. Leadership & Advisory:

• Lead compliance audits, internal reviews, and investigations, providing actionable recommendations to senior management.
• Advise business units on compliance implications for new products, transactions, and operational changes.

3. Training & Culture:

• Develop and deliver advanced compliance training programs to foster a culture of integrity and awareness across the organization.

4. Reporting & Governance:

• Prepare and submit regulatory filings, disclosures, and risk reports to the SFC and other authorities.
• Oversee licensing applications, personal conduct inquiries, and employee trading surveillance.

5. Strategic Projects:

• Spearhead ad-hoc projects (e.g., regulatory impact assessments, fintech compliance frameworks) and represent Compliance in cross-functional initiatives.

Qualifications & Skills:

• Bachelor’s degree or higher in Law, Finance, Business, or related fields.
• 8+ years in compliance experience in SFC 1/4/9, with proven expertise in SFC-regulated environments.
• Proficiency in compliance tools, familiarity with HKMA, MAS MiFID, SEC, or other global frameworks is a plus.
• Strong leadership, stakeholder management, and decision-making abilities.
• Excellent communication in English and Chinese/Cantonese.
• Proactive, detail-oriented, and adaptable to regulatory changes in fast-paced environments.