senior compliance manager/ head of compliance

Randstad Hong Kong Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

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.

Responsibilities

• 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.

Skills

Regulatory compliance

Regulatory advisory

Communication

Multilingual

Education

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

Job description

about the job.

• 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-organized, and independent with strong communication skills.
• Candidates with more experience may be considered for the position of Head of Compliance.

skills

no additional skills required

qualifications

no additional qualifications required

education

Bachelor Degree