about the company.


a licensed financial institution in Hong Kong whose business activities cover securities dealing, asset management, and corporate finance-related services. The organisation is currently undergoing ongoing business expansion and seeks a professional to support this growth.

about the team.

You will lead the Compliance Department and work closely with senior management to provide professional advice on regulatory matters, compliance risks, and licensing issues. The team is dedicated to fostering a strong compliance culture and enhancing risk awareness across the entire organisation.

about the job.

• Establish and maintain a robust compliance framework to ensure all business activities comply with Securities and Futures Commission (SFC) requirements.

• Act as the primary liaison with the SFC and manage licensing-related matters, including applications, renewals, variations, and regulatory filings.

• Provide compliance support and oversight for SFC-regulated activities, including Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management).

• Ensure strict compliance with all applicable Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) regulations.

• Review and monitor account opening procedures, AML/KYC controls, and transaction monitoring while overseeing compliance for licensed representatives and Responsible Officers (ROs).

• Deliver compliance and regulatory training to staff and prepare regular compliance reports for the Board and senior management.

skills & experience required.

• Bachelor's degree or above in Law, Finance, Accounting, Business Administration, or a related discipline.

• Minimum of 8 years of relevant compliance experience within the financial services industry.

• Solid experience in compliance management for SFC-licensed corporations conducting Type 1, Type 4, and Type 9 regulated activities.

• Previous experience as Head of Compliance, Deputy Head of Compliance, or in a senior compliance management role is preferred.

• In-depth knowledge of the Securities and Futures Ordinance (SFO), SFC Codes and Guidelines, and AML/KYC requirements.

• Fluency in both written and spoken English and Chinese, including the ability to prepare professional reports and regulatory correspondence.

If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk