Director, Head of Compliance – Securities Firm

Job details

Location: Hong Kong S.A.R
Job Type: Permanent
Reference: DHOC/NR100223
Posted: over 1 year ago

Job description


  • Oversee the general compliance;

  • Responsible for the compliance of SFC 1, 4, 6, 9 licensed business;

  • Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx;

  • Manage and handle inquiries and investigation from various regulators;

  • Supervise licensing matters /KYC checks;

  • Develop, maintain and implement compliance plans, manuals, policies and procedures, and conduct appropriate internal training programs to enhance legal & compliance awareness;

  • Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues;

  • Perform regular compliance audits and monitor all licensing/ registration matters;

  • Act as the contact point with regulatory and law enforcement bodies.



  • Bachelor’s Degree in Law or Business Administration;

  • Experience with communicating with the regulators SFC and HKEX;

  • Minimum 5 years of relevant experience in supervising legal, risk and compliance function in financial firm;

  • Sound knowledge of relevant compliance rules, including related regulatory requirements issued by the HKMA, SFC, Deposit Protection Board and Privacy Commissioner for Personal Data, CRS and FATCA;

  • Self-motivated, ability to work under pressure with strong communication and interpersonal skills;

  • Excellent in written and spoken English and Chinese and proficiency in Mandarin.


If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan,


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