Compliance Consulting

What Compliance Consulting does

Compliance Consulting Limited, founded in 2003 by Ms. Iris Chan, is the first professional compliance consultancy established in Hong Kong and operates as a privately held professional services firm headquartered in Central. It provides end-to-end regulatory compliance and advisory services to SFC licensed corporations, HKMA-regulated institutions, brokerage firms, asset managers (including hedge funds, private equity, and family offices), and Hong Kong listed companies. Its core service lines comprise Licensing Services (SFC, HKMA, and exchange licence applications), Compliance Retainer Services, Compliance Reviews (including mock SFC inspections), Policies and Procedures Development, Compliance Training (on-site and e-learning), Compliance Projects, Book-keeping and Payroll Services, and the proprietary Post-Trade Review System (PTRS) for post-trade surveillance. Notable disclosed engagements include a US$30 billion AUM American hedge fund, a state-owned bank subsidiary, a global asset manager joint venture in the Shanghai Free Trade Zone, and a major global insurer's Hong Kong wealth management arm.

The company's go-to-market is sales-led and direct, delivered through bespoke consulting engagements, retainer packages with two dedicated personnel per client, and project-based work, supported by a bilingual marketing presence (English/Chinese website, Weixin official account, LinkedIn) and an E-Learning platform for CPT and pre-licensing training. Revenue is generated across four streams: recurring compliance retainer subscriptions, one-off licensing professional services, training professional services, and bookkeeping/payroll professional services; pricing is quote-based and not publicly disclosed. The wholly owned subsidiary Mario Recruitment (founded 2015) extends the firm into financial-services talent placement, creating cross-sell synergies with the compliance practice. As of June 2019 the firm retained 80+ licensed corporations on retainer and had cumulatively supported 100+ entities through successful regulatory licensing; it has served over 400 clients since inception.

Name

Compliance Consulting

Legal name

Compliance Consulting Limited

Website

https://hkcompliance.com

Company type

Private

Founded year

2003

Operating status

Operating

Headcount range

11–50 employees

Short description

Compliance Consulting Limited, founded in 2003, is Hong Kong's first professional compliance consultancy, providing licensing, retainer, review, training, and trading-monitoring services to SFC licensed corporations, asset managers, brokers, and listed companies.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting

NAICS

Management Consulting Services (54161), Other Management Consulting Services (541618)

SIC

Services-Management Consulting Services (8742)

akta.pro primary industry

Risk, Compliance & Internal Controls Consulting (BPAHACAJ)

akta.pro secondary industries

Regulatory Compliance Advisory (BPAHAFAB), Regulatory Compliance Management (Policies, Attestations, Obligations Mapping) (FSAFAKAG)

Keywords

• Regulatory compliance consulting
• SFC licensing services
• Compliance retainer services
• AML compliance training
• Post-trade monitoring

Headquarters

HQ city

Central

HQ country

Hong Kong SAR China

HQ region

Asia

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Others

Revenue model

1. Compliance Retainer Services: Recurring retainer-based compliance services customized to client company size and needs. Two dedicated personnel assigned to each retainer client. Includes ongoing compliance framework management, regulatory correspondence, ad hoc advice, policy reviews, and regular compliance reviews.
2. Licensing Application Services: One-time professional services for regulatory license applications including SFC, HKMA, and other regulatory body licenses. Covers entity licensing, responsible officer licenses, and representative licenses.
3. Training Services: E-Learning online courses and on-site training sessions for compliance professional development, including CPT requirements and examination preparatory courses.
4. Book-keeping and Payroll Services: Tailor-made bookkeeping and payroll services for licensed corporations and organizations, including financial resources return preparation and liquid capital requirement monitoring.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels5 records

Core offering

Compliance Consulting Limited provides a full suite of regulatory compliance services to financial institutions in Hong Kong, including SFC, HKMA and exchange licensing applications, ongoing compliance retainer support with dedicated personnel, on-site and off-site compliance reviews and mock inspections, policies and procedures development, in-house and online compliance training, customized compliance projects, book-keeping and payroll services, and a proprietary Post-Trade Review System (PTRS) for automated trading surveillance.

Product overview

Compliance Consulting Limited operates as a single-brand consultancy offering an integrated suite of compliance services rather than a modular software platform. The core offering comprises eight distinct but interrelated service lines: Licensing Services, Compliance Retainer Services, Compliance Review, Policies and Procedures Development, Compliance Training, Compliance Projects, the Post-Trade Review System (PTRS) online monitoring tool, and Book-keeping/Payroll Services. These services are complemented by an E-Learning Platform providing online professional training courses. The company also operates Mario Recruitment, a wholly owned subsidiary specializing in financial services recruitment. The service portfolio is designed to provide end-to-end compliance support for licensed corporations, registered institutions, and listed companies operating in Hong Kong's regulated financial environment.

Differentiator

Problem solved

Functional benefit

Quantifiable outcome

• Over 100 entities successfully obtained regulatory licenses through Compliance Consulting's licensing services
• +1 more outcomes

Named customers5 records

Segments5 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature1 record

Partnerships

One partnership is on record.

• Mario RecruitmentcoreOthers · 1 January 2015Mario Recruitment is a wholly owned subsidiary of Compliance Consulting Limited, founded in 2015. It specializes in recruitment within the financial services sector. Led by Ms. Janice Chan, Mario Recruitment synergizes both consultancy and recruitment solutions with a strong database of Responsible Officers and mid-back office function candidates. Mario Recruitment covers sectors beyond finance including finance & accounting, marketing, human resources, sales and secretarial support.

Scale indicators5 records

Recent moves6 records

Expansion highlights5 records

Direct peers

• Vistra: Global corporate services and compliance firm with significant Hong Kong operations. Comparable in serving regulated financial entities with compliance advisory licensing support and ongoing governance services.
• Tricor Group: Hong Kong-headquartered corporate services and compliance specialist serving licensed corporations and financial institutions. Closely comparable in target customer base (HK regulated entities), service scope (compliance, licensing, corporate secretarial), and recurring retainer-style delivery model.
• TMF Group: Global provider of compliance governance and regulatory services with strong Hong Kong and Asia presence. Comparable in offering regulatory compliance support licensing and entity management to financial institutions across multiple jurisdictions.
• Kroll: Independent global financial and regulatory advisory firm with HK office providing compliance consulting and risk advisory to financial institutions. Comparable in regulatory compliance monitoring and advisory work for licensed entities.

Broad incumbents

• Mazars Hong Kong: International audit and advisory firm with HK presence serving financial institutions on compliance and regulatory matters. Comparable in compliance advisory services but operates as multi-disciplinary firm rather than compliance boutique.
• KPMG Hong Kong: Big 4 professional services firm with substantial HK financial services compliance practice. Comparable in regulatory compliance advisory but operates as broader portfolio including audit tax and advisory rather than compliance boutique.
• Ernst & Young (EY) Hong Kong: Big 4 firm with HK financial services compliance and regulatory consulting practice. Comparable in serving licensed corporations with compliance reviews and regulatory advisory but as part of multi-disciplinary global firm.
• Deloitte Hong Kong: Big 4 firm with significant HK financial services risk and regulatory practice. Comparable in compliance advisory licensing support and post-trade monitoring capability but bundled with wider consulting audit and tax offerings.
• PwC Hong Kong: Big 4 firm with established HK risk and compliance practice serving SFC-licensed entities. Comparable in compliance review and regulatory advisory services but with broader portfolio of audit tax and consulting.
• Baker McKenzie Hong Kong: Global law firm with substantial HK financial services regulatory and compliance practice. Comparable in advising licensed corporations on regulatory matters but with broader legal offering and global footprint.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights7 records

Customer concentration

• LinkedInlinkedin.com/in/mariorecruitement

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

Subsidiaries1 record

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Compliance Consulting