Director, Compliance Advisory (Securities Brokerage)

Andrea Mak; Hong Kong; On-site; HKD 900,000 - 1,350,000; Full time

Job summary

Andrea Mak Compliance is seeking a Director-level Compliance Advisory role in Hong Kong. The role will oversee licence applications, regulatory notifications, transaction monitoring, AML/KYC reviews and advisory on FATCA/CRS.

Requires multi-jurisdictional communication and strong leadership to ensure regulatory compliance across retail and institutional clients. Immediate availability is preferred; strong English, Cantonese and Putonghua skills are mandatory for effective liaison with regulators

Qualifications

• 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.

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

Fluent English

Cantonese

Putonghua

Communication skills

Team player

Ability to workUnderPressure

Education

Bachelor's degree in Business, Finance, Law

Job description

Andrea Mak Compliance is seeking a Director-level Compliance Advisory role in Hong Kong. The role will oversee licence applications, regulatory notifications, transaction monitoring, AML/KYC reviews and advisory on FATCA/CRS.

Requires multi-jurisdictional communication and strong leadership to ensure regulatory compliance across retail and institutional clients. Immediate availability is preferred; strong English, Cantonese and Putonghua skills are mandatory for effective liaison with regulators