Senior Compliance Officer - Regulatory Change, Product Governance, Monitoring and Controls

Originating in 1964, CIGP has been providing independent and expert financial advice to business owners, high net worth individuals and family offices globally. With an entrepreneurial spirit that has driven continuous business growth, CIGP is seeking a Senior Compliance Officer to support the continued expansion of its regulated business in Hong Kong. If you are a creative, adaptable, self-driven and passionate individual who is eager to take on new challenges and make a meaningful impact, we encourage you to submit your application today. To learn more about CIGP, please visit www.cigp.com. Role Summary Reporting to the Head of Compliance, the Senior Compliance Officer will lead and support the firm's regulatory change management, product governance, compliance monitoring, surveillance and internal control activities. The role will provide practical regulatory advice to the business, oversee the implementation of regulatory requirements, and deliver independent monitoring and assurance that the firm's activities comply with applicable regulations, internal policies and industry standards. Role and Responsibilities Regulatory Change Management

• Monitor, analyse and interpret regulatory developments affecting the firm's licensed activities, including developments relating to derivatives, virtual assets, tokenised products and digital asset services.
• Maintain the firm's regulatory change inventory and assess the impact of new or amended regulatory requirements on the business.
• Coordinate implementation of regulatory changes across the organisation and track remediation and implementation activities through to completion.
• Monitor consultations, circulars, codes, guidelines, enforcement actions and industry developments issued by the SFC and other applicable regulators.
• Provide clear, practical and risk-based guidance to stakeholders regarding regulatory obligations and emerging regulatory expectations. Product Governance and Approval
• Conduct compliance reviews of new products, services, investment strategies and business initiatives prior to launch, and participate in relevant approval and governance committees.
• Assess regulatory, conduct, distribution and reputational risks associated with new products and business initiatives.
• Review offering documents, client disclosures, distribution arrangements and marketing materials for compliance with applicable regulatory requirements.
• Perform periodic reviews of existing products and services to confirm continued compliance with regulatory obligations and internal governance standards. Compliance Monitoring and Controls
• Assist in the design, implementation and enhancement of the firm's Compliance Monitoring Programme and control framework.
• Perform thematic reviews, compliance testing and control assessments to evaluate the design and operating effectiveness of key regulatory controls.
• Identify control deficiencies, recommend remedial actions, and monitor agreed action plans through to completion.
• Maintain appropriate records and documentation demonstrating compliance oversight, testing, findings, escalation and remediation. Market Abuse and Front Office Surveillance
• Perform front office surveillance, including trade monitoring and electronic communications reviews, to identify potential insider dealing, market manipulation and other forms of market misconduct.
• Investigate and document surveillance alerts, maintain records of findings and rationale, and escalate material concerns to the Head of Compliance.
• Support the enhancement and calibration of surveillance controls and monitoring methodologies. Virtual Asset and Digital Asset Oversight
• Support the firm's assessment of and preparedness for potential expansion into virtual asset-related regulated activities.
• Monitor virtual asset regulatory developments and assess their impact on the firm's business model, policies, controls and product offerings.
• Support the design and implementation of governance frameworks, risk assessments, due diligence requirements and controls applicable to virtual asset activities.
• Review client disclosures, risk warnings, onboarding requirements and operational arrangements relating to virtual asset products and services.
• Liaise with business, operations, technology and external service providers on regulatory matters relating to virtual assets and emerging financial technologies. Policy Governance and Regulatory Frameworks
• Lead and coordinate updates to compliance policies, procedures and frameworks arising from regulatory developments, monitoring findings and control enhancements.
• Ensure policies, procedures and internal controls remain aligned with applicable regulatory requirements and industry standards.
• Maintain regulatory interpretations, compliance guidance and implementation documentation. Projects and Regulatory Advisory
• Act as compliance lead or subject matter expert on business, regulatory, technology, system implementation and transformation projects.
• Ensure regulatory requirements and compliance controls are considered and embedded during project design, planning, implementation and testing.
• Provide practical compliance guidance to stakeholders throughout project lifecycles and advise senior management on regulatory implications arising from new initiatives, technologies and growth opportunities. Training, Governance and Regulatory Engagement
• Provide regulatory advice and guidance to business units, senior management and control functions.
• Develop and deliver training on regulatory developments, product governance, monitoring, market conduct and virtual asset compliance requirements.
• Support governance committees, management reporting, compliance risk assessments and regulatory examinations.
• Assist with regulatory enquiries, audits and inspections, and promote a strong culture of compliance and ethical conduct.
• Contribute to the ongoing development of the firm's compliance framework, risk management processes and governance arrangements. Qualifications and Experience
• 2 to 5 years of relevant experience in a compliance or control role gained in a regulated financial services firm, family office or Big Four firm. Candidates with more extensive relevant experience may be considered for appointment at a more senior title.
• A degree or professional qualification in law, business, accounting or a related discipline.
• Strong knowledge of Hong Kong regulatory requirements, including the Securities and Futures Ordinance and applicable SFC codes, guidelines and circulars.
• Experience in compliance monitoring, thematic reviews, control testing, surveillance, regulatory change implementation or regulatory advisory within banking, asset management, wealth management or a family office.
• Experience reviewing investment products, funds, discretionary portfolio management services, derivatives, structured products or wealth management solutions.
• Experience supporting virtual asset, digital asset or tokenisation initiatives would be highly advantageous.
• Familiarity with the SFC regulatory framework relating to market conduct, virtual asset activities, product governance and investor protection is preferred.
• Strong analytical, written and verbal communication skills, with the ability to translate regulatory requirements and monitoring findings into practical actions. ​Applicants who are not invited for an interview within 10 weeks may consider their applications unsuccessful. Personal data of unsuccessful applicants will be destroyed within 24 months. Under the Personal Data (Privacy) Ordinance, you may request access to and/or correction of your personal data in relation to your application. If you wish to do so, kindly contact us by email.