Job Summary
- Hong Kong SAR
- Permanent
- JN -082023-1944420
- Aug 24, 2023
- Competitive
Job Description
A leading integrated securities firm in Hong Kong is looking for a Head of Regulatory Compliance to join the expanding team to manage and advise on general compliance matters within the firm.
Responsibilities
- Lead the regulatory compliance team on development and advisory on local and cross-border regulations and policies
- Conduct compliance risk assessment regularly and design the compliance monitoring plan for continuous monitoring and testing
- Responsible for regulatory affairs including implementation of new regulatory requirements, inspections, regulatory reporting and investigations from customer complaints and regulatory bodies
- Establish and implement compliance framework for the company's overseas offices according to relevant laws and regulations
Requirements
- Degree holder with at least 15 years of relevant compliance experience within the investment banking/ financial services industry
- Familiar with the financial industry's regulatory policies and laws and regulations
- Team management experience and excellent project management and interpersonal skills
- Proficient in both Chinese (Mandarin) and English
Consultant Details
Consultant Details

Calvin Chan
- Senior Consultant | Banking & Financial Services Recruitment