Oversee the company's overall compliance framework, including providing regulatory advice and conducting annual product and policy reviews.
Supervise day-to-day compliance operations, including client onboarding, transaction monitoring, and ensuring business activities comply with regulatory requirements and internal guidelines.
Manage license applications and provide strategic advice on licensing issues.
Participate in the development of new business initiatives, products, and services by providing compliance input on product design, processes, and marketing materials.
Conduct regular compliance reviews, investigate complaints, and deliver internal compliance training to staff.
Monitor staff personal trading activities.
Handle any ad-hoc compliance duties, remediation, and process improvement projects as required.
skills & experience required.
Bachelor’s degree in Law, Finance, Business Administration, or a related field.
Minimum 5 - 8 years of relevant work experience in the securities industry; solid experience in both internet and traditional brokerages is highly preferred.
Strong understanding of financial products, policies, procedures, and regulatory requirements.
Sound knowledge of regulatory requirements such as the Securities and Futures Ordinance (SFO) and its subsidiary legislation.
Proficiency in fluent Mandarin, Cantonese, and English.
Responsible, detail-oriented, well-organised, and independent with strong communication skills.
Candidates with more experience may be considered for the position of Head of Compliance.
If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk
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about the job.
Oversee the company's overall compliance framework, including providing regulatory advice and conducting annual product and policy reviews.
Supervise day-to-day compliance operations, including client onboarding, transaction monitoring, and ensuring business activities comply with regulatory requirements and internal guidelines.
Manage license applications and provide strategic advice on licensing issues.
Participate in the development of new business initiatives, products, and services by providing compliance input on product design, processes, and marketing materials.
Conduct regular compliance reviews, investigate complaints, and deliver internal compliance training to staff.
Monitor staff personal trading activities.
Handle any ad-hoc compliance duties, remediation, and process improvement projects as required.
skills & experience required.
Bachelor’s degree in Law, Finance, Business Administration, or a related field.
Minimum 5 - 8 years of relevant work experience in the securities industry; solid experience in both internet and traditional brokerages is highly preferred.
Strong understanding of financial products, policies, procedures, and regulatory requirements.
Sound knowledge of regulatory requirements such as the Securities and Futures Ordinance (SFO) and its subsidiary legislation.
Proficiency in fluent Mandarin, Cantonese, and English.
Responsible, detail-oriented, well-organised, and independent with strong communication skills.
Candidates with more experience may be considered for the position of Head of Compliance.
...
If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk
show more
skills
no additional skills required
qualifications
no additional qualifications required
education
Bachelor Degree
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about the company.A reputable financial institution in Hong Kong, offering comprehensive securities and derivatives trading services. Known for its commitment to regulatory excellence and client satisfaction, the firm provides a dynamic, stable, and highly collaborative environment for financial professionals to grow and thrive in a competitive market.about the team.You will lead a dedicated and professional customer service team, working collaboratively i
about the company.A reputable financial institution in Hong Kong, offering comprehensive securities and derivatives trading services. Known for its commitment to regulatory excellence and client satisfaction, the firm provides a dynamic, stable, and highly collaborative environment for financial professionals to grow and thrive in a competitive market.about the team.You will lead a dedicated and professional customer service team, working collaboratively i
about the job.Act as the primary contact for regulatory bodies, particularly the HKMA and IA, leading responses to on-site examinations and thematic reviews.Oversee the compliance of broker-referral models and distribution channels, ensuring strict adherence to GL25, GL26, and Professional Investor regulations.Provide expert guidance on AML/CTF, enhanced due diligence (EDD), and complex source-of-wealth checks for HNW clients and offshore trusts.Advise sen
about the job.Act as the primary contact for regulatory bodies, particularly the HKMA and IA, leading responses to on-site examinations and thematic reviews.Oversee the compliance of broker-referral models and distribution channels, ensuring strict adherence to GL25, GL26, and Professional Investor regulations.Provide expert guidance on AML/CTF, enhanced due diligence (EDD), and complex source-of-wealth checks for HNW clients and offshore trusts.Advise sen
about the company.Our client is a highly prestigious, top-tier Japanese commercial banking group with an expansive international network and a deeply established presence in Hong Kong. Renowned for providing comprehensive corporate banking, trade finance, and global treasury solutions, they offer a well-capitalised, stable, and secure operating environment. They provide employees with structured career development, high operational stability, and a support
about the company.Our client is a highly prestigious, top-tier Japanese commercial banking group with an expansive international network and a deeply established presence in Hong Kong. Renowned for providing comprehensive corporate banking, trade finance, and global treasury solutions, they offer a well-capitalised, stable, and secure operating environment. They provide employees with structured career development, high operational stability, and a support
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