Job ref no.: GL-180506-1

Asian Securities firm - Compliance/Operation Head Senior Level

JAC Recruitment Hong Kong Co., Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan

Our client, a renowned Securities firm, is looking for a VP/SVP level candidate to oversee their Compliance function and operational functions.


  • Ensure company policies, internal control procedures & manuals are up-to-date with regulatory requirements and monitor adherence with these policies
  • Provide staff training related to compliance guidelines and requirements
  • Liaise with SFC and regulators for any inquiries and requests
  • Assist in consultation raised by operation team relating to compliance issues, including due diligence and AML / KYC suitability policy
  • Keep abreast of new regulatory requirements published by SFC 
  • Provide regulatory & compliance advice to directors & shareholders and draft internal procedures
  • Oversee whole operational function of the firm


  • Bachelor’s degree in Law, Finance, Business Administration or related disciplines
  • At least 5 years experience in sell-side compliance
  • Experience in equities compliance is advantageous but not a must
  • Solid knowledge of SFC framework
  • Self-starter, proactive with strong critical thinking skills
  • Good interpersonal and communication skills
  • Fluency in English is mandatory

Interested candidates, please send an updated CV with your current/expected salary information by clicking Apply NowOnly shortlisted candidates will be contacted. Thank you!

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More job information
Job ref no. GL-180506-1 (CT3116128-01#5788)
  • 55,000 - 70,000 / month (negotiable)
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 5 years - 10 years
Career Level
  • Non-management level
  • Degree