Compliance Director (SFC 1, MIC)

Links International

Job Highlights

  • Oversee the general compliance
  • 6-8 yrs compliance exp in brokerage companies
  • Perform and review regular compliance checkin


  • Oversee the general compliance
  • Ensure daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
  • Carry out regular compliance check at front, middle and back offices
  • Perform and review regular compliance checkin
  • Review and investigate Trade and Communication surveillance alerts
  • Review, revising and drafting internal manuals, policies and procedures to ensure in compliance with rules and regulation of the SFC and HKEx
  • Conducting AML/KYC checking and other necessary investigations
  • Formulate, review and update policies and procedures
  • Preparing compliance training to staff
  • Handle regulatory enquiries, inspections, and investigations


  • Degree holder in Business, Finance or other related disciplines
  • 6-8 years compliance experience in brokerage companies
  • Excellent command of English and Chinese
  • Good knowledge in AML / KYC and back / middle office operation is preferential
  • Sound knowledge of the SFO and other relevant codes and regulations
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More job information
Job Function
Work Model
  • On-site / At the workplace
Employment Term
  • Permanent
  • Full-time
  • 5 years
Career Level
  • Senior management level
  • Degree