Compliance Advisory - Director ( Securities Brokerage)

NexusSearch International Limited; Hong Kong; On-site; HKD 600,000 - 1,200,000; Full time

Job summary

NexusSearch International Limited is seeking a Director‑Compliance in Hong Kong to oversee licensing, regulatory notifications and enquiries, as well as complaints handling and surveys. You will lead transaction monitoring, name screening, and investigations of alerts, while developing compliance monitoring programmes and conducting periodic reviews.

The role requires 4–6 years of legal and compliance experience, fluency in English, Cantonese and Putonghua, and strong communication skills.

Qualifications

• Bachelor's degree in Business, Finance, Law or related discipline.
• 4-6 years legal and compliance experience in brokerage firms or regulators.
• Fluent in English, Cantonese and Putonghua (mandatory).
• Solid communication and presentation skills.
• Proactive, team player with sense of responsibility and ability to work under pressure.

Responsibilities

• Handle licence applications, regulatory notifications, enquiries, complaints, surveys and maintain compliance records.
• Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious alerts.
• Develop compliance monitoring programmes and periodic reviews including staff personal account reviews.
• Perform AML/KYC and account opening reviews; deliver customer due diligence and periodic reviews.
• 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 guidance to business teams.
• Complete ad-hoc compliance projects and special initiatives.
• Support Legal & Compliance admin work: maintain regulatory documentation and coordinate activities.

Skills

Fluent English

Cantonese

Putonghua

Communication skills

Team player

Pressure handling

Education

Bachelor's degree in Business/Finance/Law

Job description

Director‑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