Securities firm - Head of Compliance (SFC Experience preferred)

Job Title: Securities firm - Head of Compliance (SFC Experience preferred)
Contract Type: Permanent
Location: Hong Kong
Reference: GL180704-1
Contact Name: Grace Liu
Contact Email:
Job Published: July 06, 2018 14:26

Job Description

Our Client, a leading Securities firm, is currently looking for a Head of Compliance to lead a team of 7.


  • Lead a team of compliance & KYC professionals to ensure compliance on all matters
  • Advise the business units (Securities brokerage, Fixed income, DCM, M&A, etc) on all compliance matters as required from both a regulatory compliance and investment compliance standpoint
  • Handle regulatory compliance matters such as annual meetings and returns, SFC Licensing issues
  • Prepare and organize logistics for board meetings, participating in shareholders meetings, Directors and other governance meetings
  • Prepare compliance manual, policies and procedures for business units, annual reporting and internal audit


  • 10 years of experience in compliance roles in Financial institutions
  • Work experience with Securities and Futures Commission is highly preferred 
  • Demonstrable expertise in Securities/ Sales & Trading compliance, with particular emphasis on SFC regulations and licensing matters
  • Knowledge in London restriction matters is highly advantageous


Interested candidates, please kindly send your detailed resume in WORD format 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 that only shortlisted candidates will be notified, thank you.