Senior Business Compliance Officer (Assistant Manager Level considered)

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)

Key Responsibilities

• Provide compliance advisory on new business proposals, products, services and marketing arrangements, with guidance from senior team members.
• Support A.I. related initiatives, advising on regulatory, compliance and governance implications of deploying A.I. in firm's products and services.
• Assess and escalate regulatory implications of new initiatives across SFC regulated activities (Type 1, 2, 4, 5, 9).
• Review marketing materials, client communications and promotional content for compliance with SFC Code of Conduct.
• Advise on distribution, suitability and client onboarding requirements for new business lines.
• Assist in drafting and maintaining policies, procedures and internal controls for new business initiatives.
• Collaborate with front office, legal, product and operations teams to implement compliant workflows.
• Support regulatory engagement and provide compliance training to business stakeholders.

Requirements

• Bachelor's degree in Law, Finance, Business, Accounting or related discipline.
• At least 2 years' compliance experience within an SFC-licensed corporation, bank or professional services firm.
• Working knowledge of the Securities and Futures Ordinance (Cap. 571) and SFC regulatory framework.
• Demonstrated experience (or strong aptitude for) advising on new products and translating regulatory requirements into practical controls.
• Sound judgment with ability to balance regulatory risk and business needs.
• Strong written and verbal communication skills in English and Chinese (Cantonese and/or Mandarin).
• High integrity, attention to detail and ability to work under tight timelines.
• Experience in fintech, online brokerage or wealth management is a plus.