Compliance Director / Head of Compliance - Top-Tier Securities Brokerage (SFC 1,4,6,9 types of Business)

  • Competitive with Bonus Scheme
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Bo Le Associates Ltd
  • 13 Mar 18 2018-03-13

Our client is a fast growing international financial institution with incorporated in Hong Kong and focusing on spearheading its expansion into global financial markets. Being of the earliest and most respected security houses in PRC, it is providing top-tier securities brokerage, futures contracts trading, asset management and corporate finance to global corporate services to selected institutional clients and retail clients. Our client company is listed in Mainland China.


  • Develop and maintain / enhance compliance related policies and procedures as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
  • As one of the key members to liaise with regulatory bodies, exchange internal and/or external auditors
  • Analyse the testing and controls proceedures to ensure that the compliance monitoring is conducted effectively
  • Perform surveillance for trading activities; Involve in new products launching procedure, providing day-to-day compliance advice to different business lines
  • Review and draft internal and/or external agreements
  • Review and approve client KYC / due diligence reports
  • Responsible for overseeing the KYC process
  • Perform central compliance functions (conduct staff training / CPT monitoring / reporting functions, etc.)
  • Ad hoc projects and administrative/clerical duties



  • Bachelor degree from a reputable university majoring in Law, Accounting, Business, Finance or a related discipline
  • Minimum 7~8 years solid compliance experience, preferably in brokerage house / finance group
  • Familiar with the Securities and Futures Ordinance, SFC rules and regulations
  • Good knowledge in investment products, fund setup and practices in FATCA are definitely advantageous
  • Confident, self-motivated, organized, detail-oriented, willing to learn, flexible, able to multitask and strong analytical skills
  • Fluency in written English and Chinese, with verbal fluency in Mandarin