Job ref no.: CT3116010-01#0083
Southwest Securities (HK) Financial Management Limited

Head of Compliance

Southwest Securities (HK) Financial Management Limited

  • 5-day week
  • Birthday leave
  • Compassionate leave
  • Competitive pay
  • Dental plan
  • Discretionary bonus
  • Examination leave
  • Extra maternity leave
  • Extra paternity leave
  • Family medical plan
  • Insurance plan
  • Marriage leave
  • Medical plan
  • Special / extra leave
  • K + 8 more


  • Lead the compliance function to ensure the group is in compliance with local regulatory requirements and to develop a strong compliance culture
  • Work closely with senior management and to provide timely and pragmatic regulatory advice to business unit and on product development
  • Design and implement effective compliance monitoring program and report the findings to senior management
  • Liaise with regulatory bodies, legal counsels and other internal control groups to manage compliance-related issues


  • Degree holder in Business, law, accounting or related disciplines
  • Minimum 10 years of compliance experience in the financial services industry
  • Well familiar with SFO, Exchange rules, AMLO, relevant codes & regulations including those under PIBA
  • Good knowledge of the securities and futures market, including derivatives products, knowledge of insurance business is an advantage
  • Self-motivated, customer-centric and able to work under pressure
  • Excellent interpersonal, relationship management and communication skills
  • Proficiency in MS Office applications including Chinese word processing
  • Excellent command of spoken and written English and Chinese, including Mandarin

Attractive package will be offered to the right candidate.  Interested parties please send both Chinese & English resume with current and expected salary to the Human Resources Department at 40/F., Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong or email to [via CTgoodjobs Apply Now ]

Data collected will be used for recruitment purpose only.

More job information
Job ref no. CT3116010-01#0083
  • N/A
Job Function
  • Causeway Bay
Employment Term
  • Permanent
  • Full-time
  • 10 years - 20 years or above
Career Level
  • Senior management level
  • Degree
  • Master's degree