Senior Compliance Director: Regulated Markets & SFC Oversight

Fosun International Securities Limited; Hong Kong; On-site; HKD 900,000 - 1,600,000; Full time

Job summary

Fosun International Securities Limited in Hong Kong seeks a high-calibre Compliance Senior Manager to oversee the compliance operations of its regulated businesses, ensuring alignment with SFC and SFO requirements.

You will lead regulatory filings, inspections, AML/CFT controls, and client due diligence, while providing authoritative advice to senior management on new initiatives and complex regulatory changes.

Qualifications

• Minimum 10 years of solid compliance experience within securities brokerages or licensed corporations (SFC Type 1, 2, 4, 6 & Type 9).
• Working knowledge of the Securities and Futures Ordinance, SFC Codes and Guidelines, HK regulatory requirements.

Responsibilities

• Lead and oversee the full spectrum of compliance and regulatory functions for the licensed corporation.
• Act as a liaison with SFC, external auditors, legal counsel and other regulatory bodies.
• Direct and manage regulatory filings, licensing matters, WINGS submissions, BRMQ, and annual returns.
• Lead preparation for SFC regulatory inspections and inquiries.
• Provide end-to-end compliance oversight for asset management products (HK LPF, OFC, offshore funds).
• Oversee investment/trading activities, client onboarding, market misconduct monitoring, and suitability assessments.
• Lead AML/CFT framework including high-risk client onboarding, sanctions screening and STR escalations.
• Establish and update compliance manuals, AML policies, and control frameworks.
• Provide authoritative compliance advice on new business initiatives and complex changes.

Skills

Leadership

Regulatory compliance

AML/CFT

KYC onboarding

Regulatory filings

Education

Bachelor's degree or above in Law, Finance, Business Administration

Job description

Fosun International Securities Limited in Hong Kong seeks a high-calibre Compliance Senior Manager to oversee the compliance operations of its regulated businesses, ensuring alignment with SFC and SFO requirements.

You will lead regulatory filings, inspections, AML/CFT controls, and client due diligence, while providing authoritative advice to senior management on new initiatives and complex regulatory changes.