senior compliance manager

Randstad Hong Kong Limited; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

Randstad Hong Kong Limited is seeking a senior compliance leader to oversee the company's overall compliance framework and provide regulatory advice across the business. You will supervise day-to-day operations including client onboarding and transaction monitoring, manage license applications, and contribute to product and service design from a compliance perspective.

Fluent Mandarin, Cantonese and English required; 5–8 years in the securities industry with strong knowledge of SFO rules and

Qualifications

• Minimum 5–8 years of relevant work experience in the securities industry
• Solid experience in both internet and traditional brokerages
• Strong understanding of financial products, policies, procedures and regulatory requirements
• Proficiency in Mandarin, Cantonese, and English

Responsibilities

• Oversee the company's overall compliance framework, including providing regulatory advice and conducting annual product and policy reviews.
• Supervise day-to-day compliance operations, including client onboarding, transaction monitoring, and ensuring business activities comply with regulatory requirements and internal guidelines.
• Manage license applications and provide strategic advice on licensing issues.
• Participate in the development of new business initiatives, products, and services by providing compliance input on product design, processes, and marketing materials.
• Conduct regular compliance reviews, investigate complaints, and deliver internal compliance training to staff.
• Monitor staff personal trading activities.
• Handle any ad-hoc compliance duties, remediation, and process improvement projects as required.

Skills

Languages: Mandarin, Cantonese, and英語

Education

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

Job description

Oversee the company's overall compliance framework, including providing regulatory advice and conducting annual product and policy reviews.

Supervise day-to-day compliance operations, including client onboarding, transaction monitoring, and ensuring business activities comply with regulatory requirements and internal guidelines.

Manage license applications and provide strategic advice on licensing issues.

Participate in the development of new business initiatives, products, and services by providing compliance input on product design, processes, and marketing materials.

Conduct regular compliance reviews, investigate complaints, and deliver internal compliance training to staff.

Monitor staff personal trading activities.

Handle any ad-hoc compliance duties, remediation, and process improvement projects as required.

skills & experience required.

Bachelor's degree in Law, Finance, Business Administration, or a related field.

Minimum 5 - 8 years of relevant work experience in the securities industry; solid experience in both internet and traditional brokerages is highly preferred.

Strong understanding of financial products, policies, procedures, and regulatory requirements.

Sound knowledge of regulatory requirements such as the Securities and Futures Ordinance (SFO) and its subsidiary legislation.

Proficiency in fluent Mandarin, Cantonese, and English.

Responsible, detail-oriented, well-organised, and independent with strong communication skills.