Our client Balance is seeking a Compliance Manager to join their team!

About Our Client

Balance is a forward-thinking financial institution focused on asset management, currently in the process of applying for licenses from the Hong Kong Securities and Futures Commission (Types 4 and 9). We are dedicated to offering clients diversified and professional investment solutions.

What you'll be doing?

• Develop Compliance Policies: Create and maintain compliance policies and procedures that align with SFC, HKMA, and international regulations.

• Monitor Operations: Oversee daily operations to identify and report potential risks.

• Conduct Training: Lead compliance training sessions and update the code of conduct and internal control guidelines.

• Manage Regulatory Inquiries: Handle regulatory inquiries and on-site inspections, coordinating with external counsel for audits.

• Review Marketing Materials: Ensure marketing materials, client agreements, and investment strategies comply with regulatory requirements.

• Lead AML Investigations: Conduct Anti-Money Laundering (AML) investigations, file suspicious transaction reports, and maintain KYC/CDD records.

• Track Regulatory Updates: Stay updated on regulatory changes and drive process improvements.

Who are they looking for?

• Educational Background: A Bachelor’s degree in Law, Finance, Accounting, or a related field; CAMS/CFE/legal qualification is preferred.

• Experience Required: 3+ years of experience in compliance management in Hong Kong public funds, with expertise in asset management regulations.

• Knowledge of Regulations: Deep knowledge of AML, KYC, data privacy (GDPR/PDPO), and hands-on experience in regulatory examinations.

• Language Proficiency: Fluent in English and Cantonese, with strong skills in bilingual reporting and liaising with regulators (SFC/HKMA).

• Analytical Skills: Strong analytical skills and the ability to collaborate across departments.

Why should you consider this opportunity?

Our client offers an attractive remuneration package and other benefits, such as:

• Double Pay

• 12 days of annual leave

How to apply

Ready to join this role? Click Apply now to submit your resume and share your availability and expected salary with us!

We welcome all applicants to apply, regardless of their background or experience.

All information received will be kept strictly confidential and will be used only for employment-related purposes.

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