Description

CLIENT BACKGROUND

A well-established financial institution with a strong presence in Hong Kong is seeking a seasoned compliance professional to lead its compliance function. The firm is committed to maintaining the highest standards of regulatory integrity and is looking for a strategic leader to drive its AML and compliance agenda. This is a confidential search for a senior-level appointment reporting directly to the CEO.

JOB RESPONSIBILITY

• Serve as the Manager-in-Charge (MIC) for AML and Compliance, ensuring full regulatory alignment across all business activities.
• Lead and manage a compliance team of 5-6 professionals, fostering a culture of accountability and continuous improvement.
• Oversee all-rounded compliance functions including AML, KYC, regulatory reporting, and product compliance.
• Act as the key liaison with regulators and internal stakeholders, providing expert guidance on compliance matters.
• Develop and implement compliance frameworks, policies, and procedures tailored to the firm's business model.
• Provide strategic input to senior management on emerging regulatory trends and risk mitigation strategies.

JOB REQUIREMENTS

• Minimum 15 years of relevant compliance experience within financial services, preferably in brokerage or wealth management.
• Proven leadership experience in managing compliance teams and driving regulatory initiatives.
• Strong knowledge of AML, KYC, and product compliance across various financial instruments.
• Familiarity with Hong Kong regulatory landscape and SFC requirements.
• Native-level fluency in Cantonese and English; preference for candidates with deep local market understanding.
• Excellent stakeholder management and communication skills, with the ability to influence at the executive level.