Manager / Assistant Manager, Compliance & Risk

Manager / Assistant Manager, Compliance & Risk

Location: Central, Hong Kong
Employment Type: Full-time
Reporting to: Chief Executive Officer

Our client, a growing financial services firm, is seeking a hands-on Manager or Assistant Manager, Compliance & Risk to oversee daily compliance monitoring, risk controls, regulatory governance, and operational framework development.
This role is ideal for a compliance or risk professional who is independent, detail-oriented, and confident in acting as an effective control gatekeeper in a fast-paced financial services environment.

Key Responsibilities
* Conduct daily post-trade surveillance and monitoring for internal and external fund partners.
* Review executed trades against fund mandates, pre-trade instructions, and broker confirmations.
* Perform T+1 trade reconciliations and investigate any discrepancies or potential breaches.
* Monitor staff personal trading activities and identify potential conflicts of interest.
* Develop, review, consolidate, and enhance internal compliance policies and procedures.
* Establish a structured framework for contract signing, tracking, and ongoing management.
* Support client and business-partner onboarding, including KYC and AML compliance checks.
* Assist with verification procedures relating to Financial Resources Rule calculations.
* Conduct pre-trade verification or sign-off for large or complex orders when required.
* Prepare monthly compliance reports for senior management, covering surveillance findings, breaches, and remedial actions.
* Contribute to the development of a strong ethical and compliance-focused corporate culture.
* Maintain sufficient independence and escalate concerns where activities may create regulatory, operational, or conflict-of-interest risks.

Requirements
* Bachelor's degree in Law, Finance, Risk Management, or a related discipline.
* Approximately 4-6 years of experience in regulatory compliance, risk management, internal audit, or a similar function within Hong Kong's financial services industry.
* Practical knowledge of the SFC Code of Conduct and Type 4 / Type 9 regulated activities.
* Experience in trade surveillance, compliance monitoring, KYC/AML, or investment operations is highly desirable.
* Demonstrated ability to develop or significantly improve policies, procedures, and control frameworks.
* Strong attention to detail, analytical ability, and organisational skills.
* Mature, independent, and confident in challenging non-compliant instructions or practices.
* Holder of relevant SFC Responsible Officer or Representative licences is advantageous; candidates currently pursuing the relevant licences will also be considered.
* Good command of written and spoken English and Chinese.

Click "Apply Now" to apply for this position or call Carmen Ng at [+852 3180 4923](tel:+852 3180 4923) for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.