Compliance Advisory - Director ( Securities Brokerage)

NexusSearch; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

NexusSearch in Hong Kong seeks a Director-Compliance to lead regulatory affairs, AML/KYC reviews, and policy governance for institutional and retail clients. You will manage licence applications, surveillance, training, and advisory duties; collaborate with Legal & Compliance and business teams to ensure accurate regulatory reporting.

Ideal candidates have strong leadership, communication skills, and a proactive, results‑driven mindset. Immediate availability is preferred.

Qualifications

• Bachelor's degree in Business, Finance, Law or related disciplines.
• 4–6 years legal and compliance experience gained from brokerage firms or regulatory authorities.
• Fluent in written and spoken English, Cantonese and Putonghua (mandatory)
• Strong communication and presentation skills
• Proactive working style, good team player
• Strong sense of responsibility, able to work under pressure

Responsibilities

• Handle licence applications, regulatory notifications, regulatory enquiries, complaints handling, surveys and maintain relevant compliance records
• Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious transaction alerts
• Develop compliance monitoring programmes; conduct periodic compliance reviews (including staff personal‑account dealing reviews) to identify compliance and internal control risks
• Perform AML/KYC and account opening reviews; deliver customer due diligence (CDD) and periodic reviews for retail and institutional clients
• Provide compliance advice on FATCA and CRS reporting requirements
• Review marketing materials, client‑facing documents and regulatory notices
• Deliver internal compliance training and maintain CPT records
• Provide ongoing compliance advisory and transaction‑related guidance to business teams
• Complete ad‑hoc compliance projects and special initiatives as required
• Support Legal & Compliance administrative work: maintain regulatory documentation, coordinate compliance activities, ensure accurate record‑keeping for regulatory reporting and compliance

Skills

Multilingual English, Cantonese, Puton

Education

Bachelor's degree in Business, Finance, Law or related disciplines

Job description

• Handle licence applications, regulatory notifications, regulatory enquiries, complaints handling, surveys and maintain relevant compliance records
• Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious transaction alerts
• Develop compliance monitoring programmes; conduct periodic compliance reviews (including staff personal‑account dealing reviews) to identify compliance and internal control risks
• Perform AML/KYC and account opening reviews; deliver customer due diligence (CDD) and periodic reviews for retail and institutional clients
• Provide compliance advice on FATCA and CRS reporting requirements
• Review marketing materials, client‑facing documents and regulatory notices
• Deliver internal compliance training and maintain CPT records
• Provide ongoing compliance advisory and transaction‑related guidance to business teams
• Complete ad‑hoc compliance projects and special initiatives as required
• Support Legal & Compliance administrative work: maintain regulatory documentation, coordinate compliance activities, ensure accurate record‑keeping for regulatory reporting and compliance

Director‑Compliance

• Handle licence applications, regulatory notifications, regulatory enquiries, complaints handling, surveys and maintain relevant compliance records
• Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious transaction alerts
• Develop compliance monitoring programmes; conduct periodic compliance reviews (including staff personal‑account dealing reviews) to identify compliance and internal control risks
• Perform AML/KYC and account opening reviews; deliver customer due diligence (CDD) and periodic reviews for retail and institutional clients
• Provide compliance advice on FATCA and CRS reporting requirements
• Review marketing materials, client‑facing documents and regulatory notices
• Deliver internal compliance training and maintain CPT records
• Provide ongoing compliance advisory and transaction‑related guidance to business teams
• Complete ad‑hoc compliance projects and special initiatives as required
• Support Legal & Compliance administrative work: maintain regulatory documentation, coordinate compliance activities, ensure accurate record‑keeping for regulatory reporting and compliance

Job Responsibilities

• Handle licence applications, regulatory notifications, regulatory enquiries, complaints handling, surveys and maintain relevant compliance records
• Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious transaction alerts
• Develop compliance monitoring programmes; conduct periodic compliance reviews (including staff personal‑account dealing reviews) to identify compliance and internal control risks
• Perform AML/KYC and account opening reviews; deliver customer due diligence (CDD) and periodic reviews for retail and institutional clients
• Provide compliance advice on FATCA and CRS reporting requirements
• Review marketing materials, client‑facing documents and regulatory notices
• Deliver internal compliance training and maintain CPT records
• Provide ongoing compliance advisory and transaction‑related guidance to business teams
• Complete ad‑hoc compliance projects and special initiatives as required
• Support Legal & Compliance administrative work: maintain regulatory documentation, coordinate compliance activities, ensure accurate record‑keeping for regulatory reporting and compliance

Job Requirements

• Bachelor's degree in Business, Finance, Law or other related disciplines
• 4‑6 years legal and compliance experience gained from brokerage firms or regulatory authorities
• Fluent in written and spoken English, Cantonese and Putonghua (mandatory)
• Solid communication and presentation skills
• Proactive working style, good team player
• Strong sense of responsibility, able to work under pressure

Immediate availability is highly preferred