Senior Regulatory Compliance Lead

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

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