Your new company This is a leading global broker with a strong presence across Asia-Pacific. The firm is licensed by the Securities and Futures Commission (SFC) in Hong Kong for Type 1, 2, and 4 regulated activities.
Your new role As an Associate Director, Compliance, you will lead compliance initiatives and ensure adherence to regulatory requirements and internal standards for Hong Kong operations. Key responsibilities include:
- Overseeing compliance programs and frameworks for SFC-regulated activities
- Advising senior management and business units on compliance matters, including AML/CFT, conduct risk, and licensing
- Managing regulatory reporting and acting as the primary liaison with regulators
- Reviewing and updating compliance policies and procedures to align with evolving regulations
- Conducting compliance monitoring, thematic reviews, and risk assessments
- Delivering compliance training and promoting a strong compliance culture across the organization
What you'll need to succeed - Bachelor's degree in Law, Finance, or related discipline; legal or compliance qualifications preferred
- 8+ years' experience in compliance within securities or fintech firms
- Strong knowledge of Hong Kong SFC regulations and AML/CFT requirements
- Excellent stakeholder management and communication skills
- Ability to work independently in a fast-paced, tech-driven environment
- Proficiency in English and Cantonese
What you need to do now If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your profile to rowina.lo@hays.com.hk
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.