Compliance Officer/ Specialist (VATP)

Overview

We are seeking an experienced and proactive Compliance Officer/ Specialist to support the build-out and ongoing operation of our licensed Virtual Asset Trading Platform. Reporting directly to the MIC of AML & Compliance, you will play a critical role in establishing, implementing, and maintaining a robust compliance and financial crime framework in line with Hong Kong’s regulatory requirements.

The ideal candidate has strong regulatory knowledge, hands-on experience with AML / CFT controls, and familiarity with SFC VATP obligations. You will be instrumental in designing processes and ensuring the business operates in full compliance as the platform launches.

Key Responsibilities:

Regulatory & Licensing Compliance

• Support the MIC in overseeing all SFC-related VATP compliance obligations, including AML/CFT, transaction monitoring, and other regulatory requirements
• Assist in preparing regulatory submissions, responses, and reports to the SFC and other authorities
• Monitor regulatory developments and translate new rules or guidance into actionable internal policies and procedures

Policy, Governance & Internal Controls

• Draft, review, and implement compliance policies, manuals, SOPs, and internal control frameworks to ensure they reflect the latest regulatory standards
• Work with cross-functional teams (operations, product, risk, IT, etc.) to enhance internal procedures and ensure proper execution of compliance controls
• Contribute to compliance-related training and awareness programs across the organization

Financial Crime Compliance

• Conduct and oversee AML/CFT and transaction monitoring duties covering both fiat and virtual asset transactions
• Review alerts and investigate suspicious activities; prepare STRs and liaise with authorities when required
• Perform Enhanced Due Diligence (EDD) on high-risk clients and ongoing reviews of existing customers
• Analyze trends and typologies to strengthen monitoring rules, detection logic, and system effectiveness

Conduct & Employee Compliance

• Provide guidance on employee compliance requirements, including personal account dealing and conflicts of interest.
• Review and analyze staff personal trading activities to identify potential misconduct or breaches
• Support internal inquiries and compliance-related investigations

Projects & Platform Launch Support

• Participate in special compliance projects, system implementations, and platform-readiness initiatives for the launch of the VATP
• Assist in evaluating surveillance and AML tools; support integration and testing (e.g., blockchain analytics, trade surveillance, sanctions screening)

Key Requirements:

• Bachelor’s degree or equivalent professional experience
• Minimum 1 years of relevant experience in Audit/Compliance, AML/CFT, or financial crime functions within securities firms or financial institutions; at least 1 years in virtual asset–related roles preferred
• Strong understanding of Hong Kong’s regulatory framework for VATPs, including SFC AML Guideline, VATP Licensing Handbook, and relevant circulars
• Professional qualifications such as ACAMS or equivalent are highly preferred
• Experience with blockchain analytics and surveillance tools (e.g., Elliptic, Solidus, Refinitiv, Eventus) is a plus
• Detail-oriented, self-motivated, and capable of working independently in a fast-paced, startup-like environment
• Native Cantonese speaker, fluent in English and Putonghua, with good command of written English and Chinese

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