Job ref no.: CT3118201-01#8381

Head of Compliance - Financial Services

Mindset Asia Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan

Our client is is a highly diversified financial services organization. They provide a broad range of brokerage and investment banking products and solutions. Due to their continued expansion in Hong Kong, they are currently looking for experienced compliance professionals to join them.

  • Critical Business Support
  • Challenging Expansion Opportunity
  • Significant Business Involvement


Reporting to the Senior Executive, you will play a key role in leading a term of compliance professionals to supporting the business growth for Hong Kong and China. You will be responsible for supervise the compliance program and to ensure its in place to effectively manage the activities and controls used to effect compliance with regulatory requirements; and processes are established and maintained to support line management’s responsibility for promoting adherence to their Code of Business Conduct & Ethics and related corporate standards.



  • Undergraduate degree in Law, Accounting or Finance; with minimum 15 years of related experience
  • Good knowledge and understanding of the Hong Kong banking and securities regulations and industry best practices; particularly in the areas of compliance, corporate governance and risk management
  • Supervision of compliance of all business activities, including brokerage, investment banking and asset management
  • Overall identification of compliance risks of all business activities, including brokerage, asset management, investment banking
  • Make recommendations concerning safeguard of compliance risks
  • Good understanding and knowledge of Banking and Securities Operations
  • Excellent verbal and written communication skills both in Mandarin, Cantonese and English
  • Superior organizational skills and the ability to prioritize in a dynamic working environment
  • Ability to manage strategic long-term plans with day-today exigencies
  • Strong investigative and analytical ability and detail-oriented
  • Good interpersonal skills with the ability to deal with all levels of staffs and with regulators


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More job information
Job ref no. CT3118201-01#8381
  • N/A
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 15 years - 18 years
Career Level
  • Senior management level
  • Degree