SFC Compliance Director: AML/CFT & Licensing Leader

Charterhouse Limited; Hong Kong; On-site; HKD 1,000,000 - 1,800,000; Full time

Job summary

Charterhouse Limited is seeking a Director of Compliance to lead the compliance function for its SFC-licensed entity in Hong Kong. The MIC for Compliance and AML/CFT will own regulatory obligations and the risk-management framework, aligning with HK regulations for Type 1, 4, and 9 activities.

The role requires extensive engagement with the SFC, licensing matters, and advisory support to senior management on regulatory developments, product approvals, and governance enhancements.

Qualifications

• Significant compliance experience within an SFC-licensed corporation.
• Deep knowledge of SFO, SFC Code of Conduct, Licensing Handbook, and Manager-in-Charge Regime.
• Proven track record building robust compliance frameworks and governance programmes.

Responsibilities

• Advise senior management on SFC regulatory requirements and compliance risks.
• Lead licensing applications and regulatory submissions, including RO and MIC.
• Maintain regulatory governance, policies, and training programs.
• Engage with the SFC on licensing matters, inquiries, inspections, and supervision.

Skills

Regulatory advisory

Governance leadership

SFC engagement

Licensing strategy

Risk management

Education

Bachelor's degree in Law, Finance, Accounting, or Business

Professional compliance qualifications

Job description

Charterhouse Limited is seeking a Director of Compliance to lead the compliance function for its SFC-licensed entity in Hong Kong. The MIC for Compliance and AML/CFT will own regulatory obligations and the risk-management framework, aligning with HK regulations for Type 1, 4, and 9 activities.

The role requires extensive engagement with the SFC, licensing matters, and advisory support to senior management on regulatory developments, product approvals, and governance enhancements.