Head of compliance

Key Responsibilities

• Lead the compliance and legal function.
• Oversee regulatory matters, including licence applications and ongoing regulatory filings, and serve as a key contact for the Securities and Futures Commission.
• Conduct compliance reviews and risk assessments for new financial products as well as marketing materials.
• Develop, maintain and enhance the firm's compliance policies, procedures and controls.
• Plan and deliver compliance training to employees.

• Bachelor's degree or above in Law, Finance, Accounting or a related discipline; a relevant local professional or legal qualification is required.
• 5-8 years of relevant compliance experience within Hong Kong financial institutions, with a strong understanding of the Securities and Futures Ordinance.
• Prior compliance experience covering SFC Types 1 and 9.
• Prior experience in a senior or team-management role.
• Strong knowledge of the compliance framework for SFC-licensed firms and Hong Kong financial-market regulations.
• Excellent risk-assessment, analytical and problem-solving skills, with the ability to manage incidents and competing priorities.
• Strong stakeholder-management skills and the ability to work effectively across departments and jurisdictions.
• Fluent in English and Mandarin, with strong verbal and written communication skills.
• High integrity and a strong sense of accountability.