Description

• Oversee the company's overall compliance framework, including providing regulatory advice and conducting annual product and policy reviews.
• Supervise day-to-day compliance operations, including client onboarding, transaction monitoring, and ensuring business activities comply with regulatory requirements and internal guidelines.
• Manage license applications and provide strategic advice on licensing issues.
• Participate in the development of new business initiatives, products, and services by providing compliance input on product design, processes, and marketing materials.
• Conduct regular compliance reviews, investigate complaints, and deliver internal compliance training to staff.
• Monitor staff personal trading activities.
• Handle any ad-hoc compliance duties, remediation, and process improvement projects as required.

• Bachelor's degree in Law, Finance, Business Administration, or a related field.
• Minimum 5 - 8 years of relevant work experience in the securities industry; solid experience in both internet and traditional brokerages is highly preferred.
• Strong understanding of financial products, policies, procedures, and regulatory requirements.
• Sound knowledge of regulatory requirements such as the Securities and Futures Ordinance (SFO) and its subsidiary legislation.
• Proficiency in fluent Mandarin, Cantonese, and English.
• Responsible, detail-oriented, well-organised, and independent with strong communication skills.
• Candidates with more experience may be considered for the position of Head of Compliance.
  
  If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk