Compliance VP - Top Tier Securities firm

This role is central to ensuring robust compliance standards, guiding strategic initiatives, and embedding a strong culture of regulatory awareness. You will join a collaborative and supportive environment that values professional growth, inclusivity, and continuous learning.

Key responsibilities:

As Compliance Vice President, you will provide expert regulatory guidance and ensure the firm maintains the highest standards of compliance across all business activities.

• Provide compliance advice relating to applicable rules, regulations and regulatory expectations
• Review new business/product initiatives and provide compliance advices from a regulatory and best practice perspective
• Handle enquiries, inspections, audits from regulators and external parties
• Involve in monitoring and checking for adherence to compliance procedures and controls
• Assist to formulate and review company policies, internal control procedures & manuals to ensure they are up to date with regulatory requirements
• Provide compliance training to business and supporting staffs
• Assist with the administration work for the compliance department
• Handle other compliance related ad hoc assignments from time to time

Candidate profile:

You are an experienced compliance professional with strong technical knowledge, sound judgement, and the ability to collaborate effectively across teams and jurisdictions.

• University degree holder in Law, Accounting, Finance, or related field
• 5 years of experience in Compliance, Legal or regulators, preferably with exposure in brokerage and/or investment banking industry
• Good knowledge of Hong Kong regulatory requirements. Knowledge of PRC's regulatory requirements and overseas regulatory developments advantageous
• Proficient in MS Word, including Word, Excel and PowerPoint
• Bilingual with proficiency in both Chinese (Mandarin) and English Mature, thoughtful, strong analytical and problem-solving skills with an aptitude for technology
• Proactive and strong team player with strong interpersonal, coordination and communication skills

About the company:

This top-tier securities firm is recognised for its commitment to integrity, excellence, and employee development within Hong Kong's financial sector. The organisation fosters a genuinely inclusive and supportive culture where collaboration, open communication, and professional growth are actively encouraged.

Keywords: compliance, regulatory, governance, audit, AML, KYC, securities, banking

What's next:

If you are ready to advance your career in a supportive and high-performing environment where your compliance expertise is truly valued, apply now!