Job description

Growing Securities Firm
Great Working Culture
Great Exposure

company overview.
This growing securities firm is looking for seasoned compliance talent to lead their team covering all compliance matters of the firm, strengthening the compliance framework and ensuring robust regulatory adherence across both traditional and digital business lines. You will be leading a team of 4, great working culture and great stability are provided.

job scope.
As the Head of Compliance in a growing securities firm, your key responsibility will be:

Lead the development and maintenance of a robust compliance program, providing strategic regulatory advice and conducting annual reviews of policies, procedures, and products.
Oversee day-to-day compliance operations, including client onboarding, transaction surveillance, and monitoring of business activities to ensure full adherence to regulatory standards and internal controls.
Manage licensing matters, including preparation and submission of license applications, and provide expert guidance on licensing-related issues.
Collaborate with business teams on the launch of new products, services, and initiatives by embedding compliance considerations into product design, operational processes, and marketing materials.
Perform regular compliance reviews, investigate client complaints, and design and deliver comprehensive compliance training programs for staff.
Monitor personal account dealing and staff trading activities to uphold ethical standards and prevent conflicts of interest.
Drive remediation projects and process enhancements to continuously strengthen the compliance control environment.
Handle ad-hoc compliance projects and regulatory inquiries as required.

requirements.

Bachelor’s degree in Law, Finance, Business Administration, or a related discipline.
Minimum 8 years of relevant compliance experience within the securities or brokerage industry, with solid exposure to both internet/virtual asset platforms and traditional brokerage operations.
Prior experience in virtual assets or digital asset businesses is highly advantageous.
In-depth knowledge of Hong Kong regulatory requirements, including the Securities and Futures Ordinance (SFO) and its subsidiary legislation.
Strong understanding of financial products, policies, and procedures, with proven hands-on experience in remediation exercises and process improvement initiatives.
Fluent in English, Cantonese, and Mandarin (both spoken and written).
Highly detail-oriented, well-organized, and independent with excellent communication and interpersonal skills. A proactive and solutions-oriented mindset is essential.

If you believe you meet the above requirements and have the passion and drive to excel in this role, we invite you to submit your application. We apologies that only shortlisted candidates will be contacted. Please click the 'Apply' button below or send through your most updated CV to cchen@captarpartners.com. We apologies that only shortlisted candidates will be contacted.

Still considering? Contact Cathleen Chen on +852 3901 8731 for confidential discussion about it, we are always happy to help.