Head of Compliance

CGL Consulting Co., Ltd; Hong Kong; On-site; HKD 1,000,000 - 1,500,000; Full time

Job summary

CGL Consulting Co., Ltd is partnering with a Hong Kong-licensed financial services group to recruit a Head of Compliance. The role owns the group's compliance and regulatory agenda, sets the standard for a culture of integrity, and partners with the business on new initiatives.

Reporting to senior leadership, you will liaise with regulators and legal counsel, manage regulatory filings, and provide oversight for fund products and investment activities. Strong AML/CFT and KYC experience required.

Qualifications

• 10+ years of compliance experience in financial services or similar industry.
• Strong knowledge of Hong Kong regulatory requirements and practices.
• Hands-on AML/CFT and KYC experience with applicable controls.

Responsibilities

• Lead the compliance and regulatory framework in Hong Kong.
• Liaise with regulators, auditors and legal counsel.
• Manage regulatory filings, licensing matters and annual submissions.
• Lead preparation for regulatory inspections and inquiries.
• Provide compliance oversight for fund products and investment activities.
• Supervise trading compliance, client onboarding and suitability controls.
• Lead AML/CFT framework, including EDD, sanctions screening and transaction monitoring.
• Maintain and update compliance manuals and internal control policies.

Skills

Compliance leadership

Regulatory liaison

AML/CFT experience

KYC management

Education

Bachelor in Law or Finance

Tools

Regulatory reporting

Job description

We are partnering with a Hong Kong-licensed financial services group to recruit a Head of Compliance. The group operates across securities, asset management, and wealth management in the region.

Reporting directly to senior leadership, you will own the group's compliance and regulatory agenda, set the standard for a culture of integrity, and partner with the business on new initiatives.

Responsibilities

• Lead the compliance and regulatory framework, ensuring alignment with Hong Kong regulatory requirements
• Liaise with regulators, auditors and legal counsel
• Manage regulatory filings, licensing matters and annual submissions
• Lead preparation for regulatory inspections and inquiries
• Provide compliance oversight for fund products and investment activities
• Supervise trading compliance, client onboarding and suitability controls
• Lead AML/CFT framework, including EDD, sanctions screening and transaction monitoring
• Maintain and update compliance manuals and internal control policies

Requirements

• Degree in Law, Finance, Business or related discipline
• 10+ years of compliance experience in financial services
• Knowledge of Hong Kong regulatory requirements
• Hands-on AML/CFT and KYC experience
• Strong English and Chinese; Mandarin preferred