Regulatory Compliance Lead

Taylor Root; Hong Kong; On-site; HKD 900,000 - 1,800,000; Full time

Job summary

Taylor Root seeks a seasoned Regulatory Compliance Lead to establish and oversee the firm's compliance program in Hong Kong. You will advise senior leadership on regulatory matters, manage risk, and promote a strong compliance culture within a dynamic financial services environment.

The ideal candidate will have deep HK regulatory knowledge, experience with SFC/HKMA, and a proven ability to navigate licensing, AML/CFT, and market conduct requirements across APAC.

Qualifications

• Minimum 10 years of progressive regulatory compliance experience in financial services.

Responsibilities

• Develop and implement a comprehensive compliance framework aligned with HK regulations and firm standards.
• Monitor regulatory developments by SFC, HKMA, and related bodies and advise on impacts.
• Lead risk assessments, monitoring and testing programs to ensure ongoing compliance.
• Manage a local compliance team and coordinate with global teams.
• Serve as primary liaison with HK regulators for inquiries, licensing, and reporting.
• Provide practical compliance guidance to business units on licensing and product suitability.

Skills

Regulatory compliance

SFC/HKMA expertise

Leadership

Risk management

Regulatory reporting

Cross-border liaison

GRC systems

English fluency

Education

Bachelor's degree in Law/Finance/Business

JD/LLM/MBA or professional qualifications

HKSI/CAMS/ECF-Compliance certifications

Job description

Department: Compliance / Risk Management

Employment Type: Full-Time

Experience Required: Minimum 10 years in regulatory compliance, with significant experience in Hong Kong or APAC financial servicesJob SummaryWe are seeking a seasoned Regulatory Compliance Lead to establish, lead, and oversee the firm's compliance program in Hong Kong. This role is critical for ensuring adherence to local regulatory requirements while supporting business growth in a dynamic environment. You will act as a trusted advisor to senior leadership on regulatory matters, proactively manage compliance risks, and promote a strong compliance culture.The ideal candidate has deep expertise in Hong Kong financial regulations and a proven ability to navigate the requirements of the Securities and Futures Commission (SFC), Hong Kong Monetary Authority (HKMA), and other relevant authorities.

Key Responsibilities

• Develop, implement, and maintain a comprehensive compliance framework aligned with Hong Kong regulations and the firm's global standards.
• Monitor and analyze regulatory developments from the SFC, HKMA, and other bodies (e.g., updates to the Securities and Futures Ordinance (SFO), Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO), and related codes/guidelines).
• Conduct risk assessments, compliance monitoring, testing programs, and periodic reviews.
• Lead and mentor a local compliance team while collaborating with global counterparts.
• Serve as the primary liaison with Hong Kong regulators for inquiries, examinations, licensing matters, and reporting.
• Provide practical compliance advice to business units on licensing (SFC Type 1-10 activities), market conduct, AML/CFT, investor protection, and product suitability.
• Oversee policy and procedure development, training programs, and implementation of controls.
• Manage third-party due diligence, ongoing monitoring, and vendor compliance.
• Prepare compliance reports, metrics, and updates for senior management, the Board, or Compliance Committee.
• Support licensing applications, responsible officer (RO) obligations, and regulatory change projects.
• Drive initiatives using compliance technology, automation, and data analytics.

Qualifications & Experience

• Minimum 10 years of progressive regulatory compliance experience in financial services (asset management, brokerage, banking, wealth management, or fintech preferred).
• Strong knowledge of SFC and HKMA regulatory frameworks, including licensing, conduct rules, AML/CFT, market misconduct, and supervisory requirements.
• Experience acting as or supporting Responsible Officer (RO) or compliance roles for SFC-licensed corporations is highly advantageous.
• Bachelor's degree in Law, Finance, Business, or related field required; advanced degree (JD, LLM, MBA) or professional qualifications (e.g., HKSI, CAMS, or ECF-Compliance certifications) strongly preferred.
• Prior experience interacting with SFC/HKMA during inspections or licensing processes.
• Familiarity with cross-border regulations (e.g., FATF standards, IOSCO, or other APAC regimes) is a plus.
• Excellent leadership and team management skills.
• Ability to translate complex regulatory requirements into actionable business guidance.
• Strong analytical, communication, and stakeholder management abilities.
• High integrity and sound judgment.
• Proficiency in compliance tools and GRC systems.
• Fluency in English is essential; Cantonese and/or Mandarin is a strong advantage.