Chief Compliance Leader - Risk & Regulatory Strategy

Grandtag Financial Consultancy & Insurance Brokers Limited; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Grandtag Financial Consultancy & Insurance Brokers Limited in Hong Kong seeks a seasoned Compliance Leader to direct the groupwide compliance program, oversee AML/CFT for life insurance, and advise C‑suite on regulatory risk matters.

You will ensure adherence to SFC Type 1/4/9 activities, IA guidelines, AMLO provisions, and HK Companies Ordinance while leading a high-performing team and coordinating with business units across the organization.

Qualifications

• Bachelor’s degree in Law, Finance, Business Administration, or related disciplines.
• 10+ years of solid compliance experience in financial institutions, with proven SFC Type 1, 4, 9 regulated activities and IA compliance frameworks.
• Deep understanding of the Hong Kong Companies Ordinance, SFC Codes, AMLO, and IA guidelines.

Responsibilities

• Lead and supervise the Compliance team, fostering high standards of risk awareness and regulatory adherence across the Group.
• Advise the CEO and senior management on all compliance, legal, and risk mitigation matters.
• Provide expert compliance guidance across diverse business units regarding SFC Type 1, 4, and 9 regulated activities.
• Oversee compliance and AML/CFT operations for life insurance, ensuring alignment with IA requirements and international standards (e.g., FATF).
• Advise business units on compliance requirements for transactions and day-to-day operations.
• Design, review, and enhance Group-wide compliance plans, policies, and internal control procedures.
• Continuously update internal policies per AMLO and IA guidelines.
• Establish and execute compliance monitoring programs, including reviews of staff dealing activities to identify and resolve control gaps.
• Oversee and maintain statutory records to ensure compliance with the Companies Ordinance and regulatory bodies.
• Manage regulatory inspections, audits, and inquiries from authorities.

Skills

Leadership

Stakeholder management

Regulatory compliance

Risk management

AML/CFT

SFC activities

Communication

Education

Bachelor’s degree

Job description

Grandtag Financial Consultancy & Insurance Brokers Limited in Hong Kong seeks a seasoned Compliance Leader to direct the groupwide compliance program, oversee AML/CFT for life insurance, and advise C‑suite on regulatory risk matters.

You will ensure adherence to SFC Type 1/4/9 activities, IA guidelines, AMLO provisions, and HK Companies Ordinance while leading a high-performing team and coordinating with business units across the organization.