Compliance Director

Fosun International Securities Limited; Hong Kong; On-site; HKD 900,000 - 1,600,000; Full time

Job summary

Fosun International Securities Limited in Hong Kong seeks a high-calibre Compliance Senior Manager to oversee the compliance operations of its regulated businesses, ensuring alignment with SFC and SFO requirements.

You will lead regulatory filings, inspections, AML/CFT controls, and client due diligence, while providing authoritative advice to senior management on new initiatives and complex regulatory changes.

Qualifications

• Minimum 10 years of solid compliance experience within securities brokerages or licensed corporations (SFC Type 1, 2, 4, 6 & Type 9).
• Working knowledge of the Securities and Futures Ordinance, SFC Codes and Guidelines, HK regulatory requirements.

Responsibilities

• Lead and oversee the full spectrum of compliance and regulatory functions for the licensed corporation.
• Act as a liaison with SFC, external auditors, legal counsel and other regulatory bodies.
• Direct and manage regulatory filings, licensing matters, WINGS submissions, BRMQ, and annual returns.
• Lead preparation for SFC regulatory inspections and inquiries.
• Provide end-to-end compliance oversight for asset management products (HK LPF, OFC, offshore funds).
• Oversee investment/trading activities, client onboarding, market misconduct monitoring, and suitability assessments.
• Lead AML/CFT framework including high-risk client onboarding, sanctions screening and STR escalations.
• Establish and update compliance manuals, AML policies, and control frameworks.
• Provide authoritative compliance advice on new business initiatives and complex changes.

Skills

Leadership

Regulatory compliance

AML/CFT

KYC onboarding

Regulatory filings

Education

Bachelor's degree or above in Law, Finance, Business Administration

Job description

We are seeking a high-calibre, seasoned Compliance professional to join our team as a Compliance Senior Manager. The successful candidate will play a key role in overseeing the compliance operations of our regulated businesses.

Key responsibilities

Lead and oversee the full spectrum of compliance and regulatory functions for the licensed corporation, ensuring full alignment with SFC requirements, the Securities and Futures Ordinance (SFO), and relevant industry codes/guidelines

Act as a primary liaison with the Securities and Futures Commission (SFC), external auditors, legal counsel, and other regulatory bodies

Direct and manage regulatory filings, licensing matters, WINGS submissions, BRMQ, and annual returns

Lead the preparation and coordination for SFC regulatory inspections and inquiries

Provide end-to-end compliance oversight for asset management products, including HK LPF, OFC, and offshore private fund structures (e.g., Cayman, BVI)

Oversee investment and trading activities, personal account dealing, information barriers, restricted lists, and investment constraint monitoring

Supervise compliance controls over securities trading, client onboarding, market misconduct monitoring, and suitability assessment for retail and professional investors

Lead the AML/CFT and financial crime compliance framework, including high-risk client onboarding (EDD), sanctions screening, complex transaction monitoring, and STR escalations

Establish, review, and update compliance manuals, AML policies, operational workflows, and internal control frameworks in response to evolving regulatory standards

Provide authoritative compliance advice to senior management and business units on new business initiatives, product developments, and complex operational changes

About you

Bachelor's degree or above in Law, Finance, Business Administration or a related discipline

Minimum 10 years of solid compliance experience gained within securities brokerages or licensed corporations (SFC Type 1, 2, 4, 6 & Type 9)

Working knowledge of the Securities and Futures Ordinance, relevant SFC Codes and Guidelines, and Hong Kong regulatory requirements applicable to licensed corporations

Practical experience in AML / CFT, KYC onboarding, client due diligence and ongoing monitoring

Experience in preparing regulatory filings, maintaining compliance policies and supporting regulatory inspections is preferred

Strong leadership skills, excellent judgment, and the ability to work independently under high-pressure, fast-paced environments

Good interpersonal and communication skills, with strong written and spoken English and Chinese; Mandarin proficiency is preferred

Unlock job insights

Hirer responsiveness Salary match Number of applicants

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• How many years' experience do you have as a Compliance Director?
• What is your highest level of education?
• Which of the following SFC Licenses do you hold?

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