Job title: Head of Compliance, Securities Brokerage
Job type: Permanent
Emp type: Full-time
Location: Central HONG KONG
Salary type: Annual
Salary from: HKD $1,500,000.00
Salary to: HKD $1,800,000.00
Job published: 16-05-2019
Job ID: 33879
Contact name: Jennifer Yang
Phone number: +852 3708 9510
Contact email:

Job Description

Head of Compliance, Securities Brokerage 


Our client is a global leader and well established Securities brokerage covering all client segments with a broad range of financial products and services through its global network. As business continues to grow strong in Asia, an outstanding head of compliance position has arisen for a high-calibre Compliance professional to lead the compliance team in Hong Kong.


This senior role is essential to Hong Kong operation and directly report to Group level senior management based in London, you will oversee the overall compliance function of the company and act as the MIC of the department. You will be also oversee and enhance the compliance control framework, interpret relevant compliance laws, rules and regulations and translate into appropriate business policies and procedures. You will be responsible to create internal compliance policies and procedures to ensure compliance with regulatory requirements and provide advisory support to the business on compliance matters.


In addition, as head of compliance, you will also advise on compliance aspects relating to securities, corporate finance, IBD business, licensing and related matters. You will ensure all activities in the company are in compliance with Securities & Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements. You will provide guidance to subordinates and lead the team to execute compliance governance as well as prepare and maintain an annual Compliance training plan.


To qualify, individuals must possess:

  • Relevant university degree. Relevant post university degree or professional certification preferred
  • Minimum 15+ years experience in Compliance, Legal or Regulatory function gained from preferably sizable financial institutions with good securities and financial investment products knowledge
  • Good understanding of SFC regulations and guidelines as well as related regulations and legislations, and important concepts including but not limited to professional investors regime, licensing regime, FRRs, best execution policy rules, MIC regimes, OTC derivatives regime  
  • Familiarity with Company Ordinance, Securities & Futures Ordinance and any other rules
  • Experience in interact with regulators like HKMA and SFC
  • Familiarity with international governance standards on various compliance issues such as AML, KYC, Control Room, conflict of interests, firewall rules
  • Demonstrable experience in identifying compliance and advising on, promoting, developing and implementing suitable controls, policies and procedures
  • Demonstrable success in providing timely and prudent counsel and advice to management involving compliance and regulation requirement, matters and solutions
  • Excellent written and verbal communication skills with fluency in English and Cantonese, Mandarin beneficial 


To apply, please contact Jennifer Yang for a confidential discussion at (852) 3708 9510 or email quoting job reference number JY 33879 . To visit more Legal, Compliance and Risk management jobs please check

Data collected will be for recruitment purposes only. Only shortlisted candidates will be contacted. If you have not been contacted within 5 business days of your application, please assume your application has not been shortlisted.