Job ref no.: CT3118690-01#7741

Head of Compliance - Securities brokerage ( Typ1,2,4,6)

Asia Progress Executive Limited

Our client is Securities / Investment Banking To cope with the rapid business expansion they are now inviting high caliber candidates to join the team


Head of Compliance - Securities Brokerage 



  • 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 



  • University Degree or above
  • At least 5 – 8 years’ experience in compliance field from securities firm / investment bank.
  • 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.
  • Excellent command of written and spoken English and Chinese (Putonghua is a must)


Please send full resume with present & expected salary to expedite sourcing in MS-WORD format by clicking “Apply Now"

Please quote our reference in your application

Personal data provided by job applicants will be used strictly in accordance with the employer’s personal data policies, a copy of which will be provided upon request

All information provided will be used for recruitment purpose only

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3118690-01#7741
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Senior management level
  • Degree
  • Master's degree