Head of Compliance

Job title: Head of Compliance
Contract type: Permanent
Reference: JW-190301-1
Contact details: Justin Wan
Contact email:
Job published: March 04, 2019 10:40

Head of Compliance (Securities Group)


We are looking for a Head of Compliance for our client, a leading Japanese Securities Group. 



  • Act as the MIC of the department to oversee the overall compliance monitoring and KYC function of the company

  • Advise on compliance aspects relating to securities, corporate finance, licensing and related matters. Provide guidance to subordinates (compliance team and KYC team) and lead the team to execute compliance governance

  • Responsible for the dealing and trading activities in the securities markets and perform trade surveillance. Ensure all activities in the company are following Securities & Futures Ordinance 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

  • Handle customer complaints and conduct necessary investigations for addressing inquiries from the regulators

  • Prepare and perform an annual Compliance training plan which addresses employee needs and Compliance requirements to enhances employee awareness and knowledge

  • Act as Compliance liaison with internal business unit and stakeholders, co-work as a team member with other internal support functions such as Planning, Finance, Operations, and Legal

  • Discuss/collaborate with compliance counterparts of Tokyo/London/New York/Singapore office depending on the project

  • Report directly to the Head of Management Control, and share the information with relevant departments and management team proactively as necessary

  • Support in ad-hoc projects as assigned



  • University degree preferably in law, finance, accounting or related disciplines

  • At least 12 years of solid and business facing working experience in compliance areas preferably in sizable financial institutions with good securities and financial investment products knowledge (including various Stocks, Fixed-income products, OTC derivatives products)

  • Familiar with 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  

  • Familiar with Company Ordinance, Securities & Futures Ordinance and any other rules and regulations including but not limited to Dodd Frank, Mifid II, FATCA, CRS/AEOI

  • Good knowledge in various compliance issues such as AML, KYC, Control Room, MNPI handling, conflict of interests, firewall rules, regulatory risk management, internal controls, and root cause analysis

  • Thorough understanding of Japanese regulatory regime (MNPI, FW, COI, Mass holding) and prior working experience in SFC is a PLUS

  • Ability to manage around 7-8 team members, including oversight and execution of responsibilities, performance management and team development

  • Proficient in spoken and written English and Chinese (including Putonghua)


Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

 3) Reason for leaving current and past employments

directly to: and


Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.