Senior Compliance Analyst
On-site · Hong Kong, Hong Kong
Job Summary
Senior Compliance Analyst role supporting the Hong Kong Compliance team by delivering a risk-based compliance programme, providing regulatory advice to business stakeholders, and maintaining effective compliance processes and controls. Partners with internal teams (Distribution, Product, Operations, Risk) and external stakeholders (regulators, auditors, clients) to ensure regulatory obligations are met across Hong Kong and cross-border activities across Greater China. Key responsibilities include end-to-end monitoring reviews, enhancing the compliance monitoring programme, identifying control gaps, supporting regulatory impact assessments, advising on SFC and cross-border requirements, reviewing marketing materials and distribution activities, AML oversight, licensing-related tasks, maintaining policies and procedures, regulatory filings to the SFC, and contributing to governance reporting and continuous improvement initiatives.
Required Qualifications
- 2 to 4 years of experience in compliance within asset management or financial services
- Strong knowledge of Hong Kong SFC regulations and cross-border requirements
- Understanding of compliance monitoring and control testing
- Ability to interpret regulations and provide practical guidance
- Strong organisational and communication skills
- Relevant degree or professional qualification
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