Head of Compliance (SFC1469）

某中资全牌照券商招募Head of compliance head，要求具备全牌照（1， 4，6，9）券商合规管理岗经验，目前担任deputy head也可以考虑，感兴趣请联系Katherine ***微信号：Katherine_Shiu，欢迎转发自荐

Head of Compliance (SFC1469）

Key Responsibilities:

- Oversee and coordinate the companys overall compliance, develop and enhance compliance policies, procedures, and internal control systems to ensure adherence to regulatory requirements from the Hong Kong SFC.

- Conduct compliance assessments for transaction structures, manage regulatory filings, and mitigate legal risks in cross-border operations.

- Monitor and interpret real-time updates on Hong Kong and international financial regulatory developments.

- Act as the primary liaison with regulatory bodies, spearhead responses to compliance reviews, inquiries, and dispute resolutions.

- Manage the compliance team, foster cross-departmental collaboration, and promote a culture of compliance awareness.

Requirements:

- 10 years of experience in compliance roles, with substantial exposure in financial institutions.

- Candidates with experience in both Chinese and foreign institutions are preferred; familiarity with regulatory frameworks and cultural nuances across jurisdictions.

- Strong analytical skills in legal risk assessment, business acumen, and ability to integrate cross-departmental resources.

- Fluency in English, Mandarin, and Cantonese