Balance is a financial asset management firm. Our investor, Futu Holdings (NASDAQ: FUTU), is Hong Kong's leading technology-backed securities firm and a Nasdaq-listed company. Though currently in our startup phase, we prioritize talent and technology – this foundation gives us unlimited growth potential. We offer exceptional career development opportunities and welcome you to join our journey!

The following are the positions we are currently recruiting for

Compliance Manager

Responsibilities

1. Develop and maintain compliance policies/procedures in line with SFC, HKMA, and international regulations.

2. Monitor daily operations, identify and report underlying risks.

3. Conduct compliance training, update code of conduct, and internal control guidelines.

4. Manage regulatory inquiries and on-site inspections; coordinate audits with external counsel.

5. Review marketing materials, client agreements, and investment strategies for regulatory compliance.

6. Lead AML investigations, file suspicious transaction reports (STRs), maintain KYC/CDD records.

7. Track regulatory updates and drive process improvements.

Requirements

1. Bachelor’s degree in Law, Finance, Accounting, or related field; CAMs/CFE/legal qualification preferred.

2. 3+ years in compliance management experience in Hong Kong public funds, expertise in asset management regulations.

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

4. Fluent in English and Cantonese; skilled in bilingual reporting and liaising with regulators (SFC/HKMA).

5. Strong analytical skills, cross-department collaboration.