Director, Compliance (Financial Services)

Job Title: Director, Compliance (Financial Services)
Contract Type: Permanent
Location: Hong Kong
Salary: HKD
Reference: AF/HK/DCFS
Contact Name: Nick Lambe
Contact Email:
Job Published: October 18, 2019 11:24

Job Description

  • Compliance, Asset Management and securities
  • Trading platform, SFC
  • Regulatory risk management

Our client, an Asset management and securities company which provide one stop all rounded trading platforms to the client is looking a Compliance Director to join their company.


Key Responsibilities

  • Oversee the overall compliance monitoring and KYC function of the company, and act as the MIC of the department
  • Advise on compliance aspects relating to securities, futures, forex, asset management, licensing and related matters
  • 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, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations
  • Support and review operations of the business units to ensure proper internal control and compliance with regulatory requirements
  • Monitor the dealing and trading activities in the securities markets and perform trade surveillance
  • Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators
  • Provide guidance to subordinates (compliance team and KYC team) and lead the team to execute compliance governance
  • Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements
  • Develop and deliver Compliance training and resources which enhances employee awareness and knowledge


Key Requirements

  • University degree preferably in law, finance, accounting or related disciplines
  • At least 8 years of solid and business facing working experience in compliance areas preferably in 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 and regulations including but not limited to AML, FATCA, CRS/AEOI
  • In-depth understanding of regulatory risk management, internal controls, and root cause analysis
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