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Head of Regulatory Compliance

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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.


  • 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


  • 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
Calvin Chan