Compliance Officer / 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, new product launches, and daily business operations.
• Stay updated on new or revised regulatory rules, SFC circulars, and legal requirements relevant to various business units, assisting with regular impact assessments.
• Review and approve marketing materials, client communications, and promotional campaigns to ensure strict alignment with regulatory standards.
• Monitor and track remedial actions arising from compliance monitoring activities and reviews, ensuring timely and effective resolution of identified issues.
• Assist in preparing and delivering in-house compliance training programs to enhance staff awareness of regulatory requirements and market best practices.
• Participate in cross-functional ad-hoc projects and regulatory inquiries/reporting as required.

Requirements

• Bachelor's degree or above in Law, Finance, Accounting, Risk Management, or related disciplines.
• Minimum 2 to 6 years of relevant compliance experience** within the financial services or banking sector (preferably in licensed corporations or online brokerages). Candidates from professional service firms (e.g., Big 4) with relevant experience are also welcome.
• Solid knowledge of SFC rules, codes, and guidelines pertaining to **Type 1, 2, 4, and 9 regulated activities**.
• Strong analytical, communication, and problem-solving skills with high integrity and attention to detail.
• Ability to work independently as well as collaboratively in a fast-paced environment.
• Proficiency in MS Office applications (Excel, PowerPoint, Word) and Chinese word processing.
• Excellent command of written and spoken English and Chinese (Cantonese and Mandarin).