Compliance VP/D - Securities Brokerage

Key Responsibilities:

• Monitor and interpret the latest Hong Kong Securities and Futures Commission (SFC) regulations, Hong Kong Exchanges and Clearing (HKEX) rules, and other compliance requirements relevant to securities brokerage
• Review and assess the firm's compliance policies, procedures, and internal controls to ensure alignment with regulatory obligations
• Conduct regular compliance reviews and testing across the securities brokerage front, middle, and back-office functions
• Investigate potential compliance breaches in the securities brokerage business and work with Legal and Risk teams to remediate issues
• Provide compliance training and guidance to securities brokerage staff and liaise with business units to embed a strong compliance culture
• Coordinate with regulators (e.g. SFC, HKEX) and respond to information requests or regulatory inquiries related to the securities brokerage operations
• Maintain comprehensive compliance documentation and reporting for the securities brokerage activities

Qualifications:

• Minimum 8 years of relevant compliance experience in the securities brokerage industry
• Demonstrated ability to interpret complex regulations and translate them into practical policies and controls for securities trading, client account management, and other brokerage activities
• Excellent verbal and written communication skills to interact with business stakeholders and regulators