Compliance & Risk
About 138 jobs- Active recently
3 to 5 yrs
Bachelor
Competitive salary and benefits package;
14 days of paid annual leave
Opportunity to work alongside a high-caliber team with exposure to innovative financial products and structures.
- Active within 7 days
- Active recently
- Active within 3 days
- Active within 7 days
3 to 5 yrs
Bachelor
Comprehensive medical & life insurance, additional leaves e.g. marriage, birthday leave, etc
In-house gym facilities, regular and fun company activities
Casual startup environment, unlimited coffee, tea, drinks, and snacks provided
1 to 3 yrs
Bachelor
Year-end bonus provided, enhancing financial returns
Enjoy a 5-day work week, optimizing work-life balance
Comprehensive health benefits, including medical, dental, and family plans
1 to 3 yrs
Bachelor
Flexible bonus, competitive salary
5-day work week, Chinese holidays
Medical plan
Job Description
Responsibilities
Manage overall compliance matters for SFC Type 1, 4 & 9 licensed activities.
Draft, review, and file licensing-related documents and marketing materials, ensuring cross-jurisdictional compliance.
Review investment management agreements, research reports, and investment recommendations.
Conduct compliance training and monitor staff personal trading.
Oversee investor onboarding, including PI, AML/KYC, and suitability assessments.
Collaborate with IT to automate compliance workflows.
Requirements
5–8 years of relevant compliance experience, preferably with SFC Type 1, 4 & 9 licenses.
Law degree advantageous.
Proactive, independent, and detail-oriented.
Fluent in Mandarin required.
Languages
Skills
Job Location
Central-Central, Central and Western
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