Head of Compliance - SFC Type 1,4,6 & 9

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Bo Le Associates Ltd
  • 13 Nov 17 2017-11-13

Our client is the investment banking arm of a Chinese financial conglomerate offering SFC 1,4,6,9 types of Business. And they at this moment, focuses in the development of investment banking, asset management and direct investment businesses, aiming to deliver one-stop financial solutions to our customers.They are currently seeking for an outstanding compliance professional to be part of their growing business in Asia.

Job Responsibilities:

  • Review and update procedure manuals to ensure processes in compliance with regulations and internal policies;
  • Assist with regulatory liaison, including meeting with the regulators, responding to regulators’ requests and inspections;
  • Review and monitor compliance performance and provide recommendations for improvement and recommend compliance solutions to support business initiatives the firm launches;
  • Identify and assess compliance risks of the Brokerage businesses;
  • Provide compliance guidance and advise management and frontline staff on any compliance issues including advise on any regulatory or reputation risk in respect of new engagements/clients;
  • Keep abreast of the latest development of the regulatory rules and environment
  • Undertake compliance testing and other reviews pursuant to internal policies;
  • Monitor staff’s personal account dealing, research reports and advise on research issues; assist with conflicts disclosures and conflicts clearance;
  • Review and approve client KYC / due diligence reports, new activities and products.



  • More than 8 years of experience in compliance/ legal related function in HK gained from Securities Brokerage House;
  • Sound 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 Mandarin
  • Project Management skills, agility and adaptability, capacity to drive changes in an organization


Interested members can also contact directly with Zoey Wang by

Email: zoey.wang@bo-le.com

Direct line: +852 2913 9338