Head of Compliance, securities firm

Job Title: Head of Compliance, securities firm
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 47487_1629084120
Contact Name: Jessie Chan
Contact Email:
Job Published: August 30, 2021 16:27

Job Description

About Our Client

My client is a growing securities firm with SFC license type 1,2,4, 6 and 9 and they are looking for a head of compliance to lead a team of 4 people.

About The Role

  • Preparing, maintaining, and updating policies and procedures for the general operation of the Company to comply with the latest laws, regulations and requirements
  • Liaise with HKEX, SFC and other regulatory organizations for all compliance and licensing matters
  • Providing guidance and advice to management and employees of the Company from compliance perspective
  • Acting as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved
  • Raising awareness of compliance throughout the Company, and being familiar with all relevant laws, rules, regulations, guidelines, and requirements of regulators to ensure compliance


  • Bachelor degree in any disciplines, preferably in Law, Accounting, Finance and Business
  • 10 years' relevant experiences in securities firms or related industries with at least 2 years supervisory experience
  • Knowledge on SFC & HKEX rules and regulations is a MUST
  • Excellent presentation skills and strong in problem solving and analytical skills
  • Proficient in both written and spoken English and Chinese, Mandarin is a plus
  • Proficient in MS Office and Chinese typing

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.