Senior Compliance Leader - Securities & Licensing

Randstad Hong Kong Limited; Hong Kong; Sur place; HKD 900 000 - 1 300 000; Plein temps

Résumé du poste

Randstad Hong Kong Limited seeks a Head of Compliance to oversee the company’s compliance framework, provide regulatory guidance, and conduct annual product and policy reviews. This role directs day-to-day compliance operations, licensing activities, and ensures adherence to regulatory requirements and internal guidelines.

You will participate in new business initiatives, perform regular reviews, training, and monitor staff trading.

Qualifications

• Bachelor's degree in Law, Finance, or related field.
• 5–8 years of relevant securities industry experience.
• Strong knowledge of SFO and subsidiary legislation.
• Fluent in Mandarin, Cantonese, and English.

Responsabilités

• Oversee the company's compliance framework and annual product/policy reviews.
• Supervise onboarding, transaction monitoring and regulatory alignment.
• Manage license applications and licensing strategy.
• Participate in new business initiatives, providing compliance input on product design and marketing materials.
• Conduct regular compliance reviews, investigate complaints and deliver staff training.
• Monitor staff personal trading activities.
• Handle ad-hoc compliance duties, remediation, and process improvement projects.

Connaissances

Regulatory compliance

Regulatory advisory

Communication

Multilingual

Formation

Bachelor's degree in Law, Finance, or related field

Description du poste

Randstad Hong Kong Limited seeks a Head of Compliance to oversee the company’s compliance framework, provide regulatory guidance, and conduct annual product and policy reviews. This role directs day-to-day compliance operations, licensing activities, and ensures adherence to regulatory requirements and internal guidelines.

You will participate in new business initiatives, perform regular reviews, training, and monitor staff trading.