Total 8 compliance manager job vacancies in Quality Assurance / Control category in Wan Chai, Hong Kong Island

About Hex Trust

Hex Trust is a fully-licensed and insured digital asset custodian. Led by veteran banking technologists and award-winning financial services experts, Hex Trust has built Hex Safe, a proprietary bank-grade platform that delivers solutions for digital asset protocols, foundations, financial institutions, and the Web3 ecosystem. Hex Trust has offices in Singapore, Hong Kong, Dubai, Italy, and Vietnam.

About the Job

Hex Technologies Pte Ltd received the Major Payment Institution (MPI) in-principal approval license in July 2024 and, as one of the first custodians to receive the MPI license, the Compliance Officer (CO) will responsible for day-to-day compliance works and operations in our Singapore office and help ensure compliance risks are identified and adequately mitigated in both Singapore and at the Group company level. In addition, the CO will also help with the planning, implementation and oversight of the Governance-related responsibilities of the Compliance department, including but not limited to, reporting requirements for internal and external parties.

Responsibilities:

• Manage compliance risk strategies, policies and frameworks at local and group level;
• Monitor and assess compliance with the laws, regulations and policies of Singapore and the MAS;
• Provide inputs to the Head of Legal & Compliance and management team on ongoing licensing requirements and best practices of processes at group level;
• Implementation and processing of compliance controls and risk management activities;
• Manage regulatory reporting;
• Direct reporting to the Head of Legal and Compliance;
• Carry out awareness briefing and staff training on regulatory requirements, company policies and procedures;
• Liaison with regulators, auditors and law enforcement. Oversee compliance reviews and investigations;
• Review marketing materials prior to publication;
• Verify and ensure documentation is complete prior to onboarding of clients;
• Perform investigative work on suspicious transactions and/or activities for both fiat and cryptocurrency transactions;
• Manage and review all transaction alerts within target timelines, and where appropriate, prepare Suspicious Transaction Reports (STRs) to the relevant Authorities.

• At least 7 years experience in a compliance role in a financial institution, digital assets company or in a regulated industry with a mix of regulatory compliance and AML/CFT compliance;
• Regulatory exposure to the MAS or commensurate overseas regulator;
• Relevant experience as a MLRO/Deputy MLRO highly preferred;
• Familiar with the Payment Services Act particularly PSN01 and PSN02, and related regulatory requirements issued by the MAS;
• Bachelor in Business, Accounting, Finance, Legal, or other relevant discipline;
• Advanced degrees of certifications (e.g. CAMS, ICA, CCAS) are a plus;
• Effective communication and interpersonal skills;
• Ability to handle multiple tasks simultaneously and work under pressure;
• Ability to work independently and as part of a global team;
• Hands-on approach and inquisitive mind.

Candidates who do not tick all the boxes are still encouraged to apply, those with less experience will still be considered for the position but with an adjustment to the level of seniority.

As one of the leading Web3 innovators, Hex Trust offers a front-row seat in the ever-changing blockchain & crypto industry. We genuinely believe that people are our greatest asset, and invest heavily so they’re best prepared to support our mission to unlock ownership in decentralised markets! You will be joining a company that is always committed to creating a supportive & inclusive environment that promotes personal and professional growth that furthers your success and drives innovation, collaboration, and passion in the blockchain space.

At Hex Trust, we are proud of our R.A.P.I.D. culture:

• Respect and Inclusion
• Agile
• Passionate
• Indivisible
• Driven by integrity

Join us at Hex Trust and not only can you look forward to working with blockchain professionals to build the decentralised future, but also:

• Competitive Salaries & Bonuses
• Generous Amounts of Paid Time Off (incl. leave for Birthdays, Work Anniversary, and Mental Health etc.)
• Flexible Work Arrangements
• Access to Corporate Discounts and exclusive Employer Perks
• Medical & Retirement Plans
• Professional Learning and Development Opportunities
• Elevate your work using cutting-edge technology
• Fun & friendly office spaces in Hong Kong, Singapore, Dubai and Vietnam
• Regular company & social events

• Assist in day-to-day compliance matters including trade surveillance work
• Provide compliance advice and support business initiatives
• Handle regulatory reporting and inquiries with the relevant Exchanges and Regulators
• Carry out compliance testing for securities brokerage and other related businesses
• Assist in internal and external audit, inspections and investigations from Exchanges and Regulators
• Assist in monitoring of regulatory changes and update the policies and procedures
• Manage internal and external audit, inspections and investigations from the auditors, Exchanges and Regulators
• Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
• Assist in ad hoc projects as required

• University/College graduate
• Relevant work experience in financial or securities industry is preferable
• Good command of written and spoken English and Chinese, proficiency in Putonghua is a privilege
• Proficiency in computer applications such as MS Office
• Responsible, hardworking, well-organized, and able to work under pressure
• A good team player with strong interpersonal and analytical skills

• Assist to supervise licensing related works and offer advice on licensing issues.
• Provide compliance advice to the different business units in relation to securities brokerage and wealth management business.
• Review and advise on legal and compliance contracts and documentation.
• Handle and implement compliance requests with internal stakeholders to enhance the internal controls and procedures as well as the system of the company.
• Manage internal and external audit, enquiries, regulatory filings, inspections and investigations from the auditors, exchanges and regulators.
• Conduct compliance training.
• Perform ad hoc compliance projects as assigned.

• Degree holder in Law, Business, Finance or related disciplines.
• Minimum 5 years of compliance experience in financial institutions, and fintech company experience is an advantage.
• Professional qualification on AML or compliance is an advantage.
• Sound knowledge in rules and regulations of Securities and Futures Commission and relevant regulatory requirements.
• Self-motivated, able to work independently, detailed oriented with good inter-personal skill and strong problem solving skills.
• Proficiency in written and spoken English and Chinese (including Putonghua).

Job Responsibilities

• Regularly update and maintain compliance policies
• Compliance housekeeping matters – Maintain accurate records and documentation relating to compliance activities, including PA trading and conflicts
• Monitor and assess compliance risks associated with the company's activities
• Conduct compliance training programs for employees to enhance awareness and understanding of compliance obligations
• Review and approve marketing materials, client communications, and other externally facing documents to ensure compliance
• Perform regular compliance audits and assessments to identify potential issues and implement corrective actions
• Keep abreast of the latest regulatory requirements that apply to hedge fund business and implement such regulations with legal and operations departments as necessary
• Work closely with internal stakeholders to develop and implement compliance programs and initiatives
• Liaise with regulators for general enquiries and onsite inspections, and with auditors with respect to audits
• Regulatory reporting – Ensure and track compliance with relevant regulations, including CFTC, SEC, SFC related filings
• Manage PA dealings, conflicts of interests within the firm
• Participate in the firm’s Vendor Management process
• Administer the firm’s wall-crossing and travel policies
• Responsible for trade surveillance – pre and post-trade monitoring, trade error review, and trade incident investigation and reporting

• Bachelor's degree in a relevant field such as finance, business, or law
• Minimum of 7 years of experience in compliance within the financial industry, preferably in hedge funds or asset management
• Sound knowledge of applicable regulations and laws, such as SFC regulations
• Previous experience in financial audit or with a regulator is a plus
• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills to effectively liaise with stakeholders and regulators
• Detail-oriented with the ability to handle multiple tasks and prioritize effectively
• Professional certifications in compliance (e.g., CPA, CAMS, CFE, CRCMP) are highly desirable
• Fluency in English and Mandarin is required (Candidate speaking is a plus)

• Provide Regional Investment Compliance Coverage which include and not limited to the following -
• Pre-Trade Compliance –
• Provide real-time investment compliance advice on trading related matters e.g. ECM activities to front office and other business functions.
• Expert Network Calls Approval and Chaperone.
• Review of pre-trade controls exceptions and liaise with business functions to implement appropriate controls when required.
• Post-Trade Compliance –
• Working closely with stakeholders to ensure the firm’s compliance with trade reporting requirements in Asia e.g. Review daily positions/trades and submit necessary disclosures to issuers and/or regulators in accordance with substantial shareholding and short position reporting requirements.
• Surveillance – These include Personal Account Dealing monitoring, Market Abuse and Best execution monitoring.
• Maintenance of the Firm’s Restricted List.
• Advise front office and senior management on trading related market regulations in major markets within Asia from compliance perspective.
• Advise business functions on trading compliance related policies and controls, including handling of MNPI, market sounding/wall crossing and conflict issues.
• Handle requests and collate responses to various exchanges or regulators.
• Tracking of regulatory changes. This include assessment of regulatory and compliance risks inherent in the business activities and initiating, coordinating and delivering process enhancements where required.
• Compliance Trainings – Design and deliver training on regulatory, compliance policies and procedures to employees.
• Project Implementation – Assist in ad-hoc compliance related tasks and projects.

• 7-10 years relevant experience, preferably in an equity trading hedge fund or asset manager, major regulator, broker and/or compliance consultant.
• Very good working knowledge of the market regulations for trading related activities in Asia. Knowledge of market regulations in other jurisdictions would be advantageous.
• Prior experience in compliance advisory including investment compliance monitoring and post-trade surveillance.
• Depth of experience to manage a challenging workload and tight deadlines.
• A strong understanding of products across different asset classes, particularly equities, fixed income and their derivatives.
• Full spoken and written fluency in English.

Company:

Sopra Steria is a listed European tech leader specializes in Consulting, Digital Service, and Software. We have 50,000 employees worldwide located in different regions (Europe, North America and Asia), whereby Singapore is the HQ for APAC. EvaGroup Asia Pacific is part of Sopra Steria I2S APAC, in charge of Infrastructure, Cloud and Cybersecurity services.

Role:

We are looking for a Compliance & Risk Expert, who will report directly to the Regional Head of Compliance Asia. He/she shall escalate any high risk/issue or work resistance in the execution of the review without delay to the Team Lead and/or Regional Head. The successful candidate needs to be able to make and stand by difficult decisions with a strong desire for results and solution orientated.  A high level of integrity with good ethical core values.

Responsibilities:

• Ensure Compliance risks are identified and managed in a timely manner
• Perform testing of the control framework and deliver Compliance reviews as required by the annual control plan
• Contribute to build and deliver on the annual Compliance control plan
• Adopt a strong risk-based approach
• Analyze the results of the risk assessment campaign, key incidents, external enforcements, results of previous reviews, regulatory agenda and detect weak areas or process at risk. Narrow down the selection of priorities with the contribution of key compliance and business stakeholders across all the region.
• Perform Compliance and/or operational risk testing on controls in the business.
• Manage end to end thematic/cyclical/desk review activities by performing review activities, including scoping, testing, issue clearance, reporting; and delivering work on schedule and in accordance with standards and methodology
• Timely escalation of any risk/issue to the Team Lead and/or Regional Head, including where there is a risk of delayed implementation or work resistance from the relevant stakeholders
• Submit draft reports to, and obtain clearance from, the Team Lead and/or Regional Head prior to issuance and communication to the relevant business and Compliance stakeholders. Manage distribution of the review report to the relevant stakeholders and the recording of the issues/actions/recommendations in the database.
• Ensure timely tracking of issues/actions/recommendations and provide updated status in the recording database on a regular basis. 
• Provide periodic updates of the review status in weekly team meetings and update the team’s activity report on a monthly basis. Comment on key risks/issues identified and highlight any potential slippage, and/or provide justification for slippage, if the anticipated delivery schedule is not going to be met.
• Maintain adequate and accurate working papers to evidence and support issues/actions/recommendations.
• Collaborate and work with all staff involved in the execution of the reviews, providing support throughout the review life cycle (including the validation of the scoping document, the testing results, the validation/clearance of issues/actions/recommendations, and the issuance of the report).
• Support and share expertise on compliance and/or business specific knowledge/matters.
• Contribute to heighten awareness of major regulatory developments and its impact to the activities from a risk management perspective.
• Develop and maintain effective partnership and working relationships with relevant stakeholders at all levels of organisation based on an understanding of their concerns, needs and motivations. 
• Maintain a detailed and updated working knowledge of the FCA, SFC, HKMA, MAS rules and regulations
• Develop and maintain own training plan to stay abreast of new regulatory requirements and Internal Controls/Policies

Technical knowledge

• Strong knowledge of regulations relating to financial services (FCA rules, EU directives, SFC, HKMA, and MAS etc)
• Good knowledge of Capital Markets and Investment Banking environment and associated products
• Solid data analytic skills with advanced Excel experience
• Ability to analyse trends, identify critical threats and opportunities, diagnose problems and issues and then recommend appropriate actions dealing with the underlying root causes

Experience

• Minimum of 12 years of relevant work experience in the financial services industry, internal audit/control testing, compliance or data science/analysis background
• Experience in execution of projects/reviews with minimum supervision
• Broad business experience and a proven ability to influence
• Demonstrated ability in strong communication, organisational, analytical and people skills
• Proven track record in delivering results, self-starter and ability to manage complex projects a must
• Experience in analysing large datasets, draw valid inferences and present them clearly to key stakeholders
• Have ability to work effectively with both local, regional and global stakeholders
• IT audit experience is desired

Education

• Minimum of BA/BS required; MBA or any other advanced degree preferred but not required
• University Graduate in Law, Banking & Finance, Economics or Data Science/Analytics highly advantageous
• Professional diploma or qualifications in Compliance (eg. ACAMS, AAMLP, CFE) and/or Audit (eg. CA, CPA), preferred
• HKMA Enhanced Competency Framework (ECF) certification is preferred

General Competencies

• Work independently with the ability to make difficult decisions
• Strong report writing skills
• Analytical & problem solving skills
• Presentation skills
• Time management skills
• Team player 

• Regular team buildings
• 18 leave days / Year
• HSBC Health Insurance
• Annual bonus
• Working hours: from 9am to 6pm, Monday to Friday
• E-learning and certifications paths

EBC Group, a leading financial services firm, is seeking a detail-oriented and experienced Compliance Officer to join our dedicated team. The Compliance Officer will be responsible for ensuring that the company operates in compliance with all applicable laws, regulations, and internal policies. This is a critical role in maintaining the integrity and reputation of the company.

Responsibilities

• Develop and oversee compliance programs and initiatives, including policies and procedures, to ensure adherence to regulatory requirements.
• Conduct regular compliance audits and risk assessments to identify areas of non-compliance and implement corrective actions.
• Provide guidance and training to employees on compliance matters, ensuring awareness of regulatory requirements.
• Monitor and review company operations to identify and address any potential compliance issues.
• Stay up-to-date with developments in laws, regulations, and industry best practices, and make recommendations for changes to policies and procedures as needed.
• Collaborate with internal stakeholders, such as legal and risk management, to address compliance-related matters.
• Prepare and submit regulatory reports and filings as required.
• Handle any inquiries or investigations from regulatory authorities.

• Bachelor's degree in finance, business, or a related field.
• Minimum of 5 years of experience in compliance, preferably in the financial services industry.
• Strong knowledge of relevant laws, regulations, and industry standards.
• Excellent analytical and problem-solving skills.
• Detail-oriented with strong organizational skills.
• Ability to communicate effectively with stakeholders at all levels of the organization.
• Proficiency in Mandarin is preferred.
• Experience with regulatory reporting and dealing with regulatory authorities.
• Ability to work independently and manage multiple tasks and deadlines.

Digital Asset Custody, globally, without compromise.

Zodia Custody is a FCA, CBI and CSSF registered Virtual Asset Service Provider (VASP), offering Digital Asset Custody services to Institutional Investors. Zodia Custody is a Venture backed by Standard Chartered Bank, Northern Trust and SBI Digital Asset Holdings based in the UK, Europe, Hong Kong, Australia, Singapore and Japan.

 We have ambitious plans to scale internationally, by way of internal and external growth. Zodia Custody has also partnered in Japan with SBI to launch the service in APAC and has plans to continue to expand in APAC and Middle-East. We aim to be the best in class in providing Crypto Custodian services.

Zodia Custody is an institution-first digital asset custodian that does not compromise on its control standards. We are regulation first in everything we do.  Within the Risk & Compliance departments, we are at the forefront of innovation and alongside our colleagues are engaged in safely developing Business Services to support the fast-structuring crypto-industry.  

The Risk and Compliance Teams are responsible for allowing the business to scale sustainably, whether it involves new markets, products, blockchains and more. Our Teams are involved in end to end processes to mitigate risks, including financial crime risks, and identification of areas of control weakness. We work directly with the business as key partners in driving control improvement.

 The teams are also responsible for identifying any gaps or weaknesses in Zodia’s adherence to applicable laws, regulations, rules and standards of self-regulatory organisations. Risk & Compliance play a key role in in ensuring key business processes help to manage risks enabling our businesses to continuously improve its risk management processes.

You’ll have the opportunity to work with both the Risk and Compliance teams, which are core teams to Zodia Custody’s success. You will help Zodia Custody in its mission to enable Digital Assets, without compromise.

What you'll be helping us with:

• Making sure Zodia Custody is compliant with risk frameworks, is continually improving these frameworks and is fostering a culture of assessment, challenge and monitoring  
• Continuing to expand, enhance and evolve our company-wide control landscape to meet regulatory expectations and deliver best in class services to our customers
• Scale the business to new markets and products

You'll spend your time:

• Challenging existing processes to ensure we are performing controls in line with and/or exceeding industry standards
• Assessing new products, clients, crypto assets/blockchains and geographies
• Executing design and operating effectiveness control tests to ensure that we have full, accurate picture of the effectiveness of the Zodia Custody-wide control landscape;
• Making recommendations to improve control effectiveness and/or identify where new controls are required;
• Identifying and monitoring risk exposure, as well as collaborating with other departments to develop and implement strategies to mitigate risk.
• Performing 'deep dives' (assurance reviews) on specific risks and/or across a series of related controls to make sure we have the correct control coverage in place and they are operating effectively.
• Managing and fostering positive relationships with key stakeholders across the three lines of defense

Above all, we are looking for people that are excited about helping Zodia Custody scale in a compliant, thoughtful and controlled way.

Key Stakeholders

• Chief Risk Officer
• MLRO/Chief Compliance Officer
• Head of Financial Crime Compliance
• Chief Security Officer
• Operations & Technology
• Regional and Country Heads

 You should apply if:

• You have at least 4 years experience working in a banking, or professional services firm in a risk function or a risk-focused compliance role in the second line of defense.
• You have a good understanding of industry control standards and practices;
• You have experience working in Digital Assets or else a strong passion for working in Digital Assets
• You are hands-on and great at execution;
• You're a self-starter and autonomous, able to make prioritisation decisions;
• You're a team player and collaborate well with other people;
• You're able to facilitate discussions and influence others to gather meaningful feedback and support on your work;
• You have experience managing multiple deadlines through to completion and have excellent attention to detail;
• You're resilient and comfortable working in a fast paced and ambiguous environment where the day to day job is constantly evolving and changing.

We offer a range of fantastic benefits including:

• Competitive employer contribution pension scheme
• Private health care
• Critical Illness cover
• Life Insurance
• 30 days annual leave
• Flexible bank holidays (can chose whether to work on bank holidays and use the leave elsewhere in the year)