Head of Compliance

BGC Group; Hong Kong; On-site; HKD 1,800,000 - 3,200,000; Full time

Job summary

BGC Group in Hong Kong seeks a Head of Compliance to lead the HK compliance function and oversee two junior officers. You will report to the APAC Head of Compliance in Singapore and serve as the main interface with SFC and HKMA. This role focuses on advisory, training, monitoring and financial crime control across all HK entities.

You will guide the team in risk assessment, policy implementation and cross-border matters, ensuring robust regulatory compliance and proactive business support.

Qualifications

• 10+ years of legal or compliance experience in financial services.
• 5+ years of people management experience.
• Strong regulatory knowledge of SFC/HKMA regulations.
• Ability to articulate complex matters clearly and concisely.
• Excellent leadership and interpersonal skills.
• Knowledge of bonds, custodian services, energy products (incl. futures) and OTC products is a plus.

Responsibilities

• Lead the Compliance team in Hong Kong and promote the function's reputation.
• Ensure Hong Kong entities comply with relevant regulations and advise on regulatory implications.
• Manage group rationalisation and ad hoc projects.
• Develop a proactive, integrated compliance approach across APAC.
• Guide risk assessments and robust monitoring/desk review processes.
• Provide training and support policy implementation for management and staff.
• Collaborate with APAC, EMEA and US Heads of Compliance to align global policies.

Skills

Communication

Leadership

Regulatory knowledge

Interpersonal skills

Strategic thinking

Business mindset

Job description

Headquartered in London and New York, BGC Group (NASDAQ: BGC) is a leading global brokerage firm providing integrated voice and electronic services to wholesale market participants. We offer a full range of brokerage services across fixed income, rates, foreign exchange, equity derivatives, credit derivatives, futures and structured product markets.

Head of Compliance, Hong Kong

We are seeking a Head of Compliance, Hong Kong to work in a highly commercial role supporting senior management in dealing with a wide range of regulatory matters. The successful candidate will be supervising and leading two junior Compliance officers based in Hong Kong and will report directly to the APAC Head of Compliance based in Singapore. He/She will be responsible for all Compliance matters across all BGC Group Hong Kong entities.

In addition to providing practical and commercial regulatory advice, this officer will be the main interface with SFC & HKMA and will be expected to ensure the delivery of high-quality compliance services including advisory, training, monitoring and financial crime.

In an advisory capacity, the Head of Compliance, Hong Kong will be expected to guide and support the Compliance team and the businesses in their operations, including customer transactions, new products and services, and a range of cross-border and domestic issues.

Job Responsibilities:

• To lead the Compliance team in Hong Kong and develop and promote the reputation and standing of the Compliance function;
• To ensure that the entities in Hong Kong (i.e.: BGC, Sunrise, GFI and all other affiliates) operate in compliance with relevant legislations/regulations, by providing advisory support to the business and Compliance team in the various locations, on regulatory implications of business decisions;
• To manage rationalisation and ad hoc projects of the Group;
• To help develop a proactive, integrated compliance approach interacting with staff of all levels of seniority in the Asia Pacific region to promote the desired culture and behaviours;
• To guide and support the Compliance officers in Hong Kong in developing a compliance risk assessment process covering the main activities relevant to managing compliance risk and implementing robust compliance monitoring/desk review programme;
• To support country and regional management through the provisions of training and identification, evaluation and resolution of compliance risk as well as implementation of policies;
• To work closely with the other Heads of Compliance in APAC, EMEA and the US and align global policies and procedures.

Job Requirements:

The candidate may be currently in-house with a financial service firm or in private practice. He or she will be based in Singapore or Hong Kong.

• 10 years or more of previous experience in legal or compliance within a financial services organisation with at least 5+ years people management experience
• Effective communication skills with ability to build strong working relationships with senior members of staff throughout the region;
• Strong leadership experience to be able to lead and motivate the Compliance team;
• Able to articulate complex matters in a clear and concise way;
• Strong regulatory technical skills in respect of SFC/HKMA regulations
• Some knowledge of bonds and custodian services, energy products (including futures contracts) and OTC products (such as FX forwards and swaps products) is a plus
• Ability to achieve results and drive business initiatives;
• Excellent leadership & interpersonal skills;
• Well organised and have a strategic view of commercial risks;
• Enthusiastic about being closely involved with the business and applying their existing knowledge to new and challenging situations;
• Approachable, adaptable and commercial in approach.

Please note that all data collected will be treated strictly confidential and used for recruitment purpose only. We regret that only shortlisted candidates will be contacted.