Manager - Compliance - R&Q - FCS- HK

Key Responsibilities: Policy Development & Implementation: Collaborate closely with Associate Directors/Senior Managers to lead by supporting the formulation of new policies, enhancing existing frameworks, and enforcement of firm-wide policies and guidance on key areas including Anti-Money Laundering, Anti-Corruption, and Sanctions Laws etc. Regulatory Monitoring: Proactively monitor global and local regulatory developments, assess impacts, and direct necessary updates to compliance processes, procedures, controls, and strategies. Oversight of Compliance Activities: Take ownership of compliance initiatives by driving policy updates, implementing process improvements, and designing targeted training and awareness programs. Compliance Testing & Analysis: Lead comprehensive compliance testing, perform in-depth analysis of findings, and formulate strategic recommendations to enhance compliance performance and risk mitigation. Together with support from SM/ADs define testing methodologies, key indicators, and develop reporting dashboards. Pre-approval & Consultation: Make timely, informed decisions on pre-approval requests, queries, and consultations relating to firm-wide policies. Risk Management: Conduct high-level compliance risk assessments and develop mitigating controls and strategies to foster a robust compliance culture. Cross-functional Collaboration & Reporting: Coordinate with various teams to align on compliance objectives and report progress and issues directly to Associate Directors. Qualifications & Experience: Minimum 6 years of relevant experience in audit, legal, or risk management roles. Bachelor’s degree or higher. Advanced skills in MS Office, especially Word and Excel; familiarity with analytical tools preferred. Strong command of spoken and written English; proficiency in Cantonese and/or Mandarin advantageous. Proven leadership skills in managing team, project management, strategic problem-solving abilities. Self-motivated with the capacity to thrive independently in a fast-paced environment and to constructively challenge existing processes.