Job ref no.: CT3120620-01#0045
Founder Securities (Hong Kong) Financial Holdings Limited

Deputy Head of Compliance

Founder Securities (Hong Kong) Financial Holdings Limited

  • 5-day week
  • Birthday leave
  • Dental plan
  • Discretionary bonus
  • Extra maternity leave
  • Flexible working hours
  • Marriage leave
  • Medical plan
  • K + 2 more

Job Descriptions:

  • Assist the head to lead the compliance function to perform day-to-day compliance advisory duties and provide general Compliance advice and guidance across all business in Hong Kong
  • Maintaining regulatory and exchange relationships, including dealing with queries, investigations, audits, formal regulatory enquiries from regulators, etc..
  • Assisting in response to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating, recommending the initiation of, and/or carrying out investigative procedures.
  • Identification of potential areas of compliance vulnerability and risk; developing/implementing corrective action plans for resolution of issues and advising on prevention of similar situations in the future.
  • Provides training to front office personnel on general regulatory matters such as the code of market conduct, sales practices as well as on other ad hoc regulatory matters.
  • Develop proper controls, policies and procedures to ensure the Company complies with internal and external legal and regulatory requirements


  • Team management/leadership experience
  • A problem solver with constructive solution
  • Strong interpersonal skills in handling relationships with the different parties of the company and regulator
  • Solid Investment Banking/Broker Dealer experience.
  • Thorough knowledge of the rules with the primary focus being the Hong Kong Regulator, the SFC
  • Candidate with less experience will be considered for a comparable grade

We offer attractive remuneration and benefits to the right candidates. Interested parties, please send your application with full resume stating your CURRENT and EXPECTED salary to the following email address: [via CTgoodjobs Apply Now ]

All applications will be treated in strict confidence and used exclusively for the employment purpose. Only short listed candidates will be invited for interview. The company will retain the applications for a maximum period of 6 months. 

More job information
Job ref no. CT3120620-01#0045
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 5 years - 9 years
Career Level
  • Senior management level
  • Degree
  • Master's degree