Compliance Head - Reputable Security Firm (Confidential)

Nova Partners Limited; Hong Kong; On-site; HKD 1,200,000 - 2,000,000; Full time

Job summary

Nova Partners Limited is seeking a Head of Compliance in Hong Kong to lead the firm's compliance function. You will own regulatory relationships, update policies and work with Product/IT on surveillance and onboarding workflows.

The role requires deep SFO/SFC knowledge, 10+ years in licensing environments, and fluency in English and Chinese. You will drive training and foster a strong compliance culture across the business.

Qualifications

• 10+ years of compliance in licensed brokers, banks or online brokerages.
• 5+ years at senior manager / head or deputy head level.
• Strong grasp of SFO and SFC codes; experience across dealing/advising/asset-management activities.
• Experience with RegTech and digital onboarding workflows.
• Fluent in English and Chinese (Cantonese & Mandarin).

Responsibilities

• Act as main contact with regulators; handle enquiries, inspections and reviews.
• Support licensing, capacity changes and RO / MIC appointments.
• Give practical compliance advice on day-to-day business and new initiatives; review products against local rules.
• Own and refresh compliance policies, manuals and internal controls in line with SFO, AMLO, Code of Conduct and updates.
• Partner with Product / IT on surveillance, AML screening and digital onboarding / suitability workflows.
• Cover cross-border and data-related compliance risks; strengthen controls on market misconduct and financial crime.
• Brief senior management on regulatory impact; drive training and a strong compliance culture.

Skills

Regulatory compliance

Stakeholder management

RegTech

Regulatory liaison

Bilingual English/Chinese

Education

Degree in Law/Accounting/Finance/Risk

Professional qualifications (CPA/CFA/CAMS)

Tools

Surveillance tools

Digital KYC onboarding

Job description

Compliance Head - Reputable Security Firm (Confidential)

Lead compliance at a licensed Hong Kong securities broker

Hands-on with regulators, new products and RegTech

Job Description

A Hong Kong licensed securities firm (multi-licence broker) is looking for a Head of Compliance to own the compliance function and work closely with the business.

Responsibilities

Act as main contact with regulators; handle enquiries, inspections and reviews; support licensing, capacity changes and RO / MIC appointments

Give practical compliance advice on day-to-day business and new initiatives; review products against local rules and market codes

Own and refresh compliance policies, manuals and internal controls in line with SFO, AMLO, Code of Conduct and updates

Partner with Product / IT on surveillance, AML screening and digital onboarding / suitability workflows

Cover cross-border and data-related compliance risks; strengthen controls on market misconduct and financial crime

Brief senior management on regulatory impact; drive training and a strong compliance culture

Requirements

Degree in Law, Accounting, Finance, Risk or related; professional quals (e.g. CPA, CFA, CAMS) preferred

10+ years compliance in licensed brokers, banks or online brokerages; 5+ years at senior manager / head or deputy head level

Solid grasp of SFO and SFC codes; experience across dealing / advising / asset-management style activities; retail, derivatives or wealth products a plus

Comfortable with RegTech, surveillance tools and digital KYC / onboarding

Fluent English and Chinese (Cantonese & Mandarin)