Head of Compliance

The Head of Compliance will be responsible for overseeing and managing all compliance-related activities within the firm. This role ensures that the company adheres to all relevant laws, regulations, and internal policies, particularly those set by the SFC. The ideal candidate will have extensive experience in compliance within the financial services industry, strong leadership skills, and a deep understanding of the regulatory environment in Hong Kong and the work flow of fintech brokerage firm

PERSOLKelly China - Hong Kong - Full time

Salary: HK$80k - HK$100k

Key Responsibilities:

  • Develop, implement, and maintain the firms compliance program including AML in accordance with SFC regulations for Type 1, 2, 4, 5, and 9 licenses.
  • Monitor and assess the effectiveness of compliance controls and procedures.
  • Provide guidance and training to staff on compliance matters and regulatory changes.
  • Conduct regular compliance audits and risk assessments.
  • Liaise with regulatory bodies, including the SFC, and ensure timely and accurate reporting.
  • Investigate and resolve compliance issues and breaches.
  • Stay updated on regulatory developments and industry best practices.
  • Collaborate with other departments to ensure a cohesive approach to compliance and risk management.
  • Design the work flow with the project manager
  • Prepare and present compliance reports to senior management and the board of directors.

Qualifications:

  • Bachelors degree in Law, Finance, Business, or a related field. A Masters degree or professional certification is preferred.
  • Minimum of 10 years of experience in compliance within the financial services industry, experience in Fintech firms will be an advantage.
  • In-depth knowledge of SFC regulations and compliance requirements for Type 1, 2, 4, 5, and 9 licenses.
  • Strong analytical, problem-solving, and decision-making skills.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and as part of a team.
  • High ethical standards and integrity.
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