Compliance Officer/ Specialist
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Key Responsibilities
Regulatory & Licensing Compliance Support the MIC in overseeing all SFC-related VATP compliance obligations, including AML/CFT, transaction monitoring, and other regulatory requirements. Assist in preparing regulatory submissions, responses, and reports to the SFC and other authorities. Monitor regulatory developments and translate new rules or guidance into actionable internal policies and procedures. Policy, Governance & Internal Controls Draft, review, and implement compliance policies, manuals, SOPs, and internal control frameworks to ensure they reflect the latest regulatory standards. Work with cross-functional teams (operations, product, risk, IT, etc.) to enhance internal procedures and ensure proper execution of compliance controls. Contribute to compliance-related training and awareness programs across the organization. Financial Crime Compliance Conduct and oversee AML/CFT and transaction monitoring duties covering both fiat and virtual asset transactions. Review alerts and investigate suspicious activities; prepare STRs and liaise with authorities when required. Perform Enhanced Due Diligence (EDD) on high-risk clients and ongoing reviews of existing customers. Analyze trends and typologies to strengthen monitoring rules, detection logic, and system effectiveness. Conduct & Employee Compliance Provide guidance on employee compliance requirements, including personal account dealing and conflicts of interest. Review and analyze staff personal trading activities to identify potential misconduct or breaches. Support internal inquiries and compliance-related investigations. Projects & Platform Launch Support Participate in special compliance projects, system implementations, and platform-readiness initiatives for the launch of the VATP. Assist in evaluating surveillance and AML tools; support integration and testing (e.g., blockchain analytics, trade surveillance, sanctions screening). Key Requirements Minimum 1 years of relevant experience in compliance, AML/CFT, or financial crime functions within securities firms or financial institutions; at least 1 years in virtual asset–related roles preferred. Strong understanding of Hong Kong’s regulatory framework for VATPs, including SFC AML Guideline, VATP Licensing Handbook, and relevant circulars. Professional qualifications such as ACAMS or equivalent are highly preferred. Experience with blockchain analytics and surveillance tools (e.g., Elliptic, Solidus, Refinitiv, Eventus) is a plus. Bachelor’s degree or equivalent professional experience. Detail-oriented, self-motivated, and capable of working independently in a fast-paced, startup-like environment. Excellent command of written and spoken English and Chinese.
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