Compliance Director

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

Job summary

Randstad Hong Kong Limited seeks an experienced Compliance leader to build and sustain a robust framework ensuring SFC compliance across our regulated activities. You will liaise with the SFC, oversee licensing, and guide teams on regulatory requirements.

The role covers Type 1, Type 4 and Type 9 activities, AML/CTF controls, KYC procedures, and regulatory reporting to the Board. Fluency in English and Chinese is required, with a track record in senior compliance management.

Qualifications

• Establish and maintain a robust compliance framework to ensure all business activities comply with SFC requirements.
• Act as the primary liaison with the SFC and manage licensing-related matters, including applications, renewals, variations, and regulatory filings.
• Provide compliance support and oversight for SFC-regulated activities, including Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management).
• Ensure strict compliance with AML and CTF regulations.
• Review and monitor account opening procedures, AML/KYC controls, and transaction monitoring while overseeing compliance for licensed representatives and Responsible Officers.
• Deliver compliance and regulatory training to staff and prepare regular compliance reports for the Board and senior management.

Responsibilities

• Establish and maintain a robust compliance framework.
• Liaise with SFC on licensing matters and regulatory filings.
• Oversee AML/KYC controls for SFC-regulated activities.
• Monitor account opening procedures and transaction monitoring.
• Provide training and prepare reports for the Board and senior management.

Skills

SFO knowledge

SFC Codes & Guidelines

AML/KYC

Regulatory reporting

Compliance management

English & Chinese reports

Education

Bachelor Degree

Job description

about the company.

a licensed financial institution in Hong Kong whose business activities cover securities dealing, asset management, and corporate finance-related services. The organisation is currently undergoing ongoing business expansion and seeks a professional to support this growth.

about the team.

You will lead the Compliance Department and work closely with senior management to provide professional advice on regulatory matters, compliance risks, and licensing issues. The team is dedicated to fostering a strong compliance culture and enhancing risk awareness across the entire organisation.

about the job.

• Establish and maintain a robust compliance framework to ensure all business activities comply with Securities and Futures Commission (SFC) requirements.
• Act as the primary liaison with the SFC and manage licensing-related matters, including applications, renewals, variations, and regulatory filings.
• Provide compliance support and oversight for SFC-regulated activities, including Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management).
• Ensure strict compliance with all applicable Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) regulations.
• Review and monitor account opening procedures, AML/KYC controls, and transaction monitoring while overseeing compliance for licensed representatives and Responsible Officers (ROs).
• Deliver compliance and regulatory training to staff and prepare regular compliance reports for the Board and senior management.

skills & experience required.

• Bachelor's degree or above in Law, Finance, Accounting, Business Administration, or a related discipline.
• Minimum of 8 years of relevant compliance experience within the financial services industry.
• Solid experience in compliance management for SFC-licensed corporations conducting Type 1, Type 4, and Type 9 regulated activities.
• Previous experience as Head of Compliance, Deputy Head of Compliance, or in a senior compliance management role is preferred.
• In-depth knowledge of the Securities and Futures Ordinance (SFO), SFC Codes and Guidelines, and AML/KYC requirements.
• Fluency in both written and spoken English and Chinese, including the ability to prepare professional reports and regulatory correspondence.

skills

no additional skills required

qualifications

no additional qualifications required

education

Bachelor Degree