Compliance Head – SFC RA 1,4 & 9

Our client is a PRC base Financial Group. She is now inviting caliber candidates to join her team in handling SFC licenses 1, 6 & 9 activities with the requirements below:


  • Lead and supervise the Compliance Team
  • Design and conduct an effective compliance framework and monitor relevant legislation/policies with respect to local statutory/policies requirements
  • Review of new products and/or business initiatives and advise on any compliance issues based on applicable rules, regulations, policies and/or procedures
  • Set up, draft and/or review the Firm’s policies and procedures
  • Coordinate KYC, AML-related issues and projects
  • In-charge of overall internal review/controls of materials and external documents
  • Provide compliance training to ensure all standards are followed internally and appropriate procedures are in-place for internal work-flow


  • Degree holder in Finance, Accounting, Law, Business, Economics or other related areas
  • Minimum 12 years experience in the compliance of financial institution
  • Solid compliance experience especially in SFC RA 1, 4 and 9
  • Knowledge of statutory and regulatory requirements and familiar in dealing with compliance issues
  • Hands on experience in dealing with regulatory bodies
  • Independent, mature, self-initiative and good interpersonal skills
  • Excellent spoken and written in English, Cantonese and Mandarin
  • Immediate available is highly preferable

*** Please send CV to or contact us at 2520 0064 for more infor.



12 years plus

Degree holder or above

Cetral Hong Kong

Enquiry: 2520 0064

To apply for this job, please send your CV to

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