Compliance Advisory - Director ( Securities Brokerage)

Director‑Compliance

Job Responsibilities

• Handle licence applications, regulatory notifications, regulatory enquiries, complaints handling, surveys and maintain relevant compliance records
• Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious transaction alerts
• Develop compliance monitoring programmes; conduct periodic compliance reviews (including staff personal‑account dealing reviews) to identify compliance and internal control risks
• Perform AML/KYC and account opening reviews; deliver customer due diligence (CDD) and periodic reviews for retail and institutional clients
• Provide compliance advice on FATCA and CRS reporting requirements
• Review marketing materials, client‑facing documents and regulatory notices
• Deliver internal compliance training and maintain CPT records
• Provide ongoing compliance advisory and transaction‑related guidance to business teams
• Complete ad‑hoc compliance projects and special initiatives as required
• Support Legal & Compliance administrative work: maintain regulatory documentation, coordinate compliance activities, ensure accurate record‑keeping for regulatory reporting and compliance

Job Requirements

• Bachelor's degree in Business, Finance, Law or other related disciplines
• 4‑6 years legal and compliance experience gained from brokerage firms or regulatory authorities
• Fluent in written and spoken English, Cantonese and Putonghua (mandatory)
• Solid communication and presentation skills
• Proactive working style, good team player
• Strong sense of responsibility, able to work under pressure

Immediate availability is highly preferred