Head of Compliance –Hong Kong SFC licensed Securities Brokerage firm (SFC 1,4,6,9 types of Business)

  • HKD 1 Million
  • Hong Kong
  • Permanent, Full time
  • Bo Le Associates Ltd
  • 06 Oct 17 2017-10-06

Our client is a Hong Kong SFC leading licensed Securities Brokerage firm. They are currently seeking an outstanding compliance professional to be part of their growing business in Asia.


  • Review and update procedure manuals to ensure processes in compliance with regulations and internal policies
  • Identify and assess compliance risks of the Securities Brokerage businesses
  • Review and monitor compliance performance and provide recommendations for improvement
  • Act as the contact point with the regulatory authorities and external auditors
  • Keep abreast of the latest development of the regulatory rules and environment
  • Prepare, update and/or filing of applicable compliance reports/forms/contracts for assigned area(s) of responsibility
  • Recommend compliance solutions to support business initiatives the firm launches


  • Recognized university degree or equivalent
  • 8+ years of experience in compliance/ legal related function in HK gained from Securities Brokerage House 
  • Good understanding of SFC regulations in Hong Kong. 
  • Capacity to work in a lean team with a hands-on approach
  • Ability to challenge the status quo and to present innovative solutions
  • Fluency in English, Cantonese and Chinese
  • Project Management skills, agility and adaptability, capacity to drive changes in an organization