Compliance Supervisor

About the role

Chung Yick Tung Finance Technology Limited is seeking a Compliance Supervisor to join our Banking & Financial Services team in a full-time capacity, based in Central, Central and Western District. This is a pivotal role within our Compliance & Risk department, where you will oversee compliance operations and ensure that our organisation maintains the highest standards of regulatory adherence. As Compliance Supervisor, you will play a crucial part in safeguarding our business, protecting our clients, and upholding the integrity of our financial operations in an increasingly complex regulatory environment.

Key responsibilities

• Supervise and coordinate the daily compliance activities of the team, ensuring all regulatory requirements are met and maintained across all business operations
• Monitor and review transactions, communications and documentation to ensure compliance with applicable laws, regulations and company policies
• Develop and implement compliance procedures, policies and controls to mitigate regulatory risks
• Conduct compliance training and awareness sessions for staff members across the organisation
• Prepare compliance reports and provide regular updates to senior management and regulatory bodies as required
• Liaise with internal departments and external regulatory authorities to address compliance queries and investigations
• Identify compliance gaps and recommend corrective actions to improve processes and procedures
• Support the investigation of compliance breaches and incidents, documenting findings and implementing remedial measures
• Maintain comprehensive compliance documentation and ensure accurate record-keeping in accordance with regulatory standards
• Stay abreast of regulatory developments and changes to ensure the organisation remains compliant with evolving requirements

What we're looking for

• A minimum of 3-5 years' experience in a compliance or risk management role within the banking and financial services sector
• Demonstrated supervisory or team leadership experience, with the ability to manage and develop junior compliance staff
• Strong knowledge of financial regulations, anti-money laundering (AML) requirements, know-your-customer (KYC) procedures and other relevant compliance frameworks
• Excellent understanding of Banking Ordinance, Securities and Futures Ordinance and other applicable Hong Kong regulatory requirements
• Proficiency in compliance systems, transaction monitoring software and relevant IT tools
• Strong analytical and problem-solving skills with meticulous attention to detail
• Excellent communication and interpersonal skills, with the ability to explain complex compliance concepts to colleagues at all levels
• Professional qualifications such as Diploma in Compliance (ACAMS) or equivalent professional certification preferred
• Fluency in English and Cantonese (written and verbal) essential; Fluency in Mandarin is a must.
• Please provide your resume in both Chinese and English.Interested parties, please send your full resume with current and expected salary to [email protected].

What we offer

At Chung Yick Tung Finance Technology Limited, we recognise that our employees are our greatest asset. We offer a competitive remuneration package commensurate with your experience and qualifications. Beyond salary, we provide comprehensive benefits including medical insurance coverage, professional development opportunities to support your compliance career progression, and ongoing training in regulatory updates and industry best practices. We are committed to fostering a collaborative and supportive work environment where your contributions are valued and your career growth is encouraged. We believe in maintaining a healthy work-life balance and offer flexible arrangements where possible to support the wellbeing of our team members.

About us

Chung Yick Tung Finance Technology Limited is a prominent player in the Banking & Financial Services sector, dedicated to delivering innovative financial solutions whilst maintaining the highest standards of regulatory compliance and ethical conduct. Our commitment to excellence, integrity and client satisfaction has positioned us as a trusted partner within the financial industry. We operate with a strong emphasis on compliance and risk management, recognising that robust governance is fundamental to sustainable business success. Our team is comprised of talented professionals who are passionate about upholding regulatory standards and contributing to a secure and trustworthy financial ecosystem.

Apply now

If you are an experienced compliance professional looking to take on a supervisory role and make a meaningful impact within a dynamic financial services organisation, we would like to hear from you. Please submit your CV, a cover letter outlining your relevant experience, and any professional certifications to our recruitment team. We look forward to hearing from you. Please provide your resume in both Chinese and English.Interested parties, please send your full resume with current and expected salary to [email protected]. Only short-listed candidates will be contacted..