7 results for Regulatory Compliance Assistant Manager Banking jobs

Operation Risk Assistant Manager (Foreign Bank, 50K - 60K)

Hong Kong,
remote
Permanent
50000 - 60000 HKD / Monthly
The CompanyLead operational risk, RCSA, incident management, HKMA gap analysis, outsourcing risk, BCM, operational resilience, and regulatory projects. The RoleOperational Risk Management<ul><li>Support the Head of Risk and Regional Head of Operational Risk in overseeing the Branch's operational risk management framework.</li><li>Coordinate and facilitate annual Risk & Control Self-Assessment (RCSA) exercises across all business and support functions.</li><li>Manage and monitor the operational incident reporting process, ensuring timely escalation, investigation, and remediation of risk events.</li><li>Prepare regular operational risk reports and management information for senior management and relevant committees.</li><li>Conduct gap analyses against HKMA Supervisory Policy Manuals (SPMs), regulatory requirements, and industry best practices, and recommend enhancement measures where necessary.</li></ul> Outsourcing & Third-Party Risk Management<ul><li>Oversee the Branch's outsourcing and third-party risk management framework to ensure compliance with regulatory expectations and internal policies.</li><li>Perform ongoing monitoring and risk assessments of outsourced service providers and third-party vendors.</li><li>Conduct periodic reviews of outsourcing agreements and vendor contracts to ensure appropriate controls and risk mitigation measures are in place.</li><li>Support due diligence exercises and maintain relevant outsourcing governance documentation.</li></ul> Business Continuity Management (BCM) & Operational Resilience<ul><li>Assist in maintaining and enhancing the Branch's Business Continuity Management framework and operational resilience programme.</li><li>Coordinate regular reviews, testing, and updates of Business Continuity Plans (BCP) and related procedures.</li><li>Work closely with the Regional BCM Manager to implement BCM initiatives, resilience assessments, and regulatory-driven requirements.</li><li>Support crisis management exercises and business continuity testing activities.</li></ul> Project & Governance Support<ul><li>Partner with the Deputy Chief Executive on various strategic and regulatory initiatives.</li><li>Support projects relating to Deposit Protection Scheme (DPS), Culture and Risk Awareness Framework (C-RAF), service level agreements, policy reviews, and other governance-related matters.</li><li>Assist in the development, review, and update of internal policies, procedures, and risk governance documents.</li><li>Participate in ad hoc projects and assignments as required.</li></ul> Your Profile<ul><li>Bachelor's degree in Finance, Business Administration, Risk Management, or a related discipline.</li><li>Minimum 5 years of operational risk, enterprise risk, internal control, or related experience gained within the banking industry.</li><li>Solid understanding of operational risk frameworks, risk and control assessments, incident management, and regulatory requirements.</li><li>Familiarity with HKMA regulations, Supervisory Policy Manuals (SPMs), and industry best practices.</li><li>Strong analytical, problem-solving, and stakeholder management skills.</li><li>Excellent written and verbal communication skills with the ability to interact effectively across all levels of the organization.</li><li>ECF-Operational Risk Management (Core or Professional Level) qualification is highly preferred.</li><li>Fluent in English; Cantonese and/or Mandarin would be an advantage.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted. Reference Number: 67010-0013471775By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS4yNjU5OC4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-07-16T09:47:28Z

Head of Compliance (Asset Management)

Hong Kong,
remote
Permanent
2000000 - 2500000 HKD / Yearly
The CompanyHead of Compliance overseeing SFC Type 4 & 9 activities, investment compliance, regulatory compliance, AML, licensing, governance, and SFC liaison The Role Key Responsibilities<ul><li>Lead and oversee all compliance activities for SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) licensed businesses, ensuring adherence to regulatory requirements and industry best practices.</li><li>Act as the primary liaison with the Securities and Futures Commission (SFC), managing regulatory inspections, licensing matters, notifications, filings, and regulatory enquiries.</li><li>Provide compliance advice to senior management and investment teams on fund management activities, new business initiatives, product launches, and regulatory developments.</li><li>Oversee investment compliance monitoring, including pre-trade and post-trade surveillance, fund mandate compliance, investment guideline reviews, and breach management.</li><li>Establish and maintain an effective compliance framework covering regulatory compliance, AML/CFT, internal controls, risk assessments, compliance testing, and governance reporting.</li><li>Lead compliance training and promote a strong compliance culture across the organization while managing compliance risks, regulatory changes, and stakeholder communications.</li></ul> Your ProfileRequirements<ul><li>Bachelor's degree in law, Finance, Accounting, Business Administration, or a related discipline; professional qualifications (e.g., CAMLP, ICA, ACAMS) are advantageous.</li><li>Minimum 10-15 years of compliance experience gained within asset management, hedge funds, private equity, family offices, or investment management firms.</li><li>Strong working knowledge of SFC regulations, including the Code of Conduct, Fund Manager Code of Conduct (FMCC), and requirements relating to Type 4 and Type 9 regulated activities.</li><li>Proven experience managing regulatory inspections, licensing matters, regulatory filings, and direct interactions with the Securities and Futures Commission (SFC).</li><li>Solid understanding of investment compliance, AML/CFT, regulatory compliance, corporate governance, and risk management frameworks within an asset management environment.</li><li>Excellent leadership, stakeholder management, and communication skills, with the ability to influence senior management and operate as a trusted compliance advisor;</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.Reference Number: 67010-0013475019By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS44OTk2My4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-07-22T05:14:14Z

Assistant Relationship Manager (Family Office)

Hong Kong,
remote
Permanent
40000 - 70000 HKD / Monthly
The RoleClient Relationship Management: Support the COO and Head of Business Development in managing client relationships by responding to inquiries, preparing client documentation, and coordinating meetings and follow-ups.UHNW Client Coverage: Assist Investment Representatives in servicing Ultra-High-Net-Worth (UHNW) clients, helping to build and maintain long-term, high-quality, and tailored client relationships.Trade Execution & Lifecycle Management: Manage the full trade lifecycle, including pre-trade suitability and eligibility checks, risk disclosure delivery, trade booking, and settlement, ensuring accuracy and compliance with internal policies and regulatory requirements.Account Onboarding & Management: Facilitate the onboarding of new clients by preparing account opening documentation, conducting document verification, and ensuring compliance with applicable regulatory standards and KYC requirements.Reporting & Analysis: Prepare client portfolio reports, investment summaries, presentations, and management reports to support client servicing and business activities.Compliance & Risk Management: Ensure all activities are conducted in accordance with internal policies, operational procedures, and relevant regulatory requirements, while proactively identifying and escalating potential risks.Cross-Functional Coordination: Act as a key liaison between clients, investment representatives, operations, compliance, and other internal stakeholders to ensure seamless communication and efficient service delivery.Operational Support: Provide administrative and operational support to the investment and relationship management teams, contributing to the overall efficiency and effectiveness of client service operations. Your Profile<ul><li>Bachelor's degree in finance, business administration, or a related field (preferred).</li><li>5-10 years experience in private banking or wealth management is an advantage.</li><li>Strong organizational skills with the ability to multitask and prioritize e</li><li>Excellent communication skills in Mandarin and English</li><li>High attention to detail and accuracy in handling sensitive information.</li><li>Knowledge of financial products and services is a plus.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted. Reference No. 67010-0013453117By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS43OTQ4Ny4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-06-29T05:37:52Z

Compliance Director (Foreign Corporate Bank, 1M - 1.4M)

Hong Kong,
remote
Permanent
1000000 - 1400000 HKD / Yearly
The CompanyForeign Corporate Bank The RoleKey Responsibilities<ul><li>Lead and manage all institutional and individual licensing matters, ensuring full compliance with regulatory requirements and the timely completion of approval processes.</li><li>Monitor regulatory developments and maintain effective frameworks to track and manage regulatory obligations across the organization.</li><li>Partner with compliance advisors and key stakeholders to ensure regulatory requirements are appropriately interpreted, implemented, and maintained.</li><li>Prepare and present management information, regulatory updates, and compliance risk reports, providing clear insights and recommendations to senior management and stakeholders.</li><li>Identify, assess, and escalate significant regulatory and compliance risks, while developing practical remediation plans and risk mitigation strategies.</li><li>Coordinate regional and global compliance initiatives, working closely with Head Office, Regional Offices, and affiliated group entities to ensure alignment and execution.</li><li>Deliver guidance and training to employees on compliance policies, procedures, and regulatory expectations.</li><li>Promote a strong culture of compliance, integrity, and ethical behaviour throughout the organization.</li><li>Act as a mentor and role model for junior compliance professionals, providing leadership and supporting their development.</li></ul> Your ProfileRequirements<ul><li>Bachelor's degree in Law, Finance, Accounting, or a related discipline, with approximately 10 years of relevant compliance experience.</li><li>Strong understanding of banking regulations, regulatory frameworks, and applicable local laws.</li><li>Proven experience engaging and communicating with regulatory authorities.</li><li>Commercially minded with strong analytical and problem-solving capabilities, able to navigate complex issues and provide practical solutions.</li><li>Self-motivated and capable of working independently in a fast-paced, high-pressure environment while effectively managing competing priorities.</li><li>Excellent stakeholder management, communication, and project coordination skills.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.Reference Number: 67010-0013467009By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/RGVyZWsuTmdhaS4wMTcwMC4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-07-08T07:06:27Z

Assistant Manager/ Finance Manager

Hong Kong,
remote
Permanent
40000 - 50000 HKD / Monthly
The CompanyGreat opportunity to join a growing platform working closely with management and to lead the finance function. The Role<ul><li>Prepare daily and monthly FRR regulatory reports (type 1,4,9) under SFC standard</li><li>Support the day‑to‑day finance function across payment, reporting, and month end closing</li><li>Handle the consolidation and financial reporting of the group</li><li>Liaise with banks, internal stakeholders, and external vendors on payment-related queries</li><li>Support month-end closing activities, including journal entries and account reconciliations</li><li>Ensure compliance with internal policies, audit requirements, and regulatory standards</li><li>Assist in process improvements and automation initiatives within the payment cycle</li></ul> Your Profile<ul><li>Bachelor's degree in Accounting, Finance, or related discipline</li><li>Experience in financial services, asset management, or multinational environments is preferred</li><li>High attention to detail with strong organisational and time management skills</li><li>Strong attention to detail and ability to handle documentation‑heavy work</li><li>Clear written and verbal communication skills</li><li>Proficiency in Cantonese and English</li></ul> Reference no.: 67010-0013453918By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/VmlvbGV0LkNoaS4wMjM0MS4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-06-15T03:22:55Z

Compliance Manager - International Hedge Fund

Hong Kong,
remote
Permanent
50000 - 70000 HKD / Monthly
The CompanyMy client is a fast-growing hedge fund that is looking to hire a Compliance Manager to join its expanding team in Hong Kong. The Role <ul><li>Provide compliance advisory support to business stakeholders.</li><li>Ensure compliance with SFC regulations and internal policies.</li><li>Conduct compliance monitoring and surveillance reviews.</li><li>Manage regulatory filings, licensing matters, and regulator communications.</li><li>Review marketing materials, fund documents, and investor communications.</li><li>Support AML/KYC processes and ongoing compliance controls.</li><li>Monitor regulatory developments and recommend necessary enhancements to policies and procedures.</li><li>Assist with audits, regulatory inspections, and compliance projects.</li></ul> Your Profile<ul><li>Bachelor's degree in a relevant discipline.</li><li>5-7 years of compliance experience within hedge funds, asset management firms, or financial institutions.</li><li>Strong knowledge of Hong Kong regulatory requirements and SFC regulations.</li><li>Experience in compliance monitoring, regulatory advisory, and licensing matters.</li><li>Strong communication skills and ability to work independently in a fast-paced environment.</li><li>Fluent English required; Chinese language skills are an advantage.</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted. Reference Number: 67010-0013472566By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/amVzc2ljYS55ZXVuZy45MjkwOC4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-07-20T01:55:31Z

Associate/ Senior associate

Hong Kong,
remote
Permanent
40000 - 50000 HKD / Monthly
The CompanyAn exciting opportunity for a Compliance Associate to work closely with front‑office and leadership teams, gaining broad regulatory exposure while helping shape a strong compliance culture in a stable environment. The Role<ul><li>Support the day‑to‑day finance function across payment, reporting, and month end closing</li><li>Handle the consolidation and financial reporting of the group</li><li>Prepare daily and monthly FRR regulatory reports under SFC standard</li><li>Review and verify invoices, payment instructions, and supporting documentation to ensure accuracy and compliance</li><li>Liaise with banks, internal stakeholders, and external vendors on payment-related queries</li><li>Support month-end closing activities, including journal entries and account reconciliations</li><li>Ensure compliance with internal policies, audit requirements, and regulatory standards</li><li>Assist in process improvements and automation initiatives within the payment cycle</li><li>Requirements</li><li>Bachelor's degree in Accounting, Finance, or related discipline</li><li>3-6 years of relevant experience in accounting</li><li>Experience in financial services, asset management, or multinational environments is preferred</li><li>High attention to detail with strong organisational and time management skills</li><li>Proficient in Excel; experience with ERP systems (SAP, Oracle, or similar) is an advantage</li><li>Good communication skills in English; Cantonese/Mandarin is a plus</li></ul> Your Profile<ul><li>Bachelor's degree in Accounting, Finance, or related discipline</li><li>Experience in financial services, asset management, or multinational environments is preferred</li><li>High attention to detail with strong organisational and time management skills</li><li>Strong attention to detail and ability to handle documentation‑heavy work</li><li>Clear written and verbal communication skills</li><li>Proficiency in Cantonese and English</li></ul> Apply Today To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted. Reference No. 67010-0013452412By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: <a href="https://www.roberthalf.com/hk/en/privacy">https://www.roberthalf.com/hk/en/privacy</a>. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.<img src="https://counter.adcourier.com/VmlvbGV0LkNoaS40NTI0Mi4xMDkxNUByaGloay5hcGxpdHJhay5jb20.gif">
2026-06-11T00:58:41Z