Senior Compliance Officer

Job Description

About Us

Longbridge is an AI-Powered online brokerage that serves global investors with optimal trading experiences through building worldwide trading infrastructure and networks. Established in March 2019, Longbridge holds 22 financial licenses and qualifications across the United States, Singapore, Hong Kong, New Zealand and other regions, having secured over US $150 million in strategic investments from major financial and investment institutions. Its subsidiary, Longbridge Securities (Hong Kong) Limited (CE No.: BPX066), holds Type 1, 2, 4, and 9 licenses issued by the Hong Kong Securities and Futures Commission (SFC)

We are seeking an agile, detail-oriented Senior Compliance Officer to support the day-to-day regulatory compliance framework across our SFC-regulated activities. You will play a key role in monitoring compliance operations, tracking regulatory changes, and championing a transparent, risk-aware culture across the firm.

Key Responsibilities

• Execute daily compliance monitoring routines, thematic reviews, and risk assessments to ensure ongoing regulatory alignment.
• Process employee compliance workflows, including personal account dealing, gifts and entertainment, and potential conflicts of interest.
• Investigate compliance incidents, customer complaints, and potential breaches, ensuring accurate documentation across official registers.

Policy, Governance & Reporting

• Assist in maintaining and updating compliance manuals, internal policies, and procedures as Hong Kong regulatory requirements evolve.
• Prepare comprehensive compliance reports and management information (MI) for senior executives and internal committees.
• Track regulatory developments from the SFC and other relevant authorities, translating new rules into clear, practical guidelines for business units.

Regulatory Engagement & Advisory

• Support the firm through SFC reporting, statutory submissions, regulatory inspections, audits, and official inquiries.
• Utilize strong stakeholder management skills to serve as a supportive compliance partner across all operational departments.
• Help deliver internal compliance training programs to promote a positive, open compliance culture across the firm.

Key Requirements

• Education & Credentials: Bachelor's degree in Law, Accounting, Finance, Business Administration, or a related discipline. Professional qualifications (HKICPA, ACCA, CFA) are highly regarded.
• Experience: Approximately 3+ years of relevant experience in audit, risk advisory, or regulatory compliance. Big 4 or professional services experience is strongly preferred.
• Regulatory Knowledge: Sound understanding of the Hong Kong financial regulatory framework. Deep, specialized SFC knowledge can be developed on the job through our structured mentoring and training programs.
• Skills: Strong analytical, problem-solving, and organizational skills with sharp attention to detail.
• Languages: Professional fluency in written and spoken English and Chinese (Cantonese and/or Mandarin).
• Mindset: Proactive, collaborative, and hands-on approach with a strong drive to continuously learn and take ownership.