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Central compliance - team head

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An exciting opportunity has arisen for a seasoned professional to take on the role of Team Head of Central Compliance Team. Join an organization that values commitment, cooperation, and empathy. Responsibilities include managing regulatory inquiries, supervising reporting, providing SFC licensing guidance, and leading a supportive and inclusive team. Make a significant impact and foster team success in this role.

What you'll do:

As the Team Head of Central Compliance Team, you will play a pivotal role in managing regulatory relationships, supervising key reporting activities, advising on licensing requirements, supporting business units on compliance matters, maintaining policy manuals, assisting in project management, ensuring operational efficiency, and overseeing FATCA/CRS reporting. Your ability to connect with various stakeholders will be crucial in this role. You will be responsible for nurturing your team's growth while ensuring that all compliance procedures are adhered to.

  • Act as the primary contact point with regulators, managing and handling investigation requests, trade-related enquiries, demands for information, business related enquiries and inspections.
  • Supervise the team in handling statutory regulatory reporting under the Securities and Futures Ordinance (SFO), including Disclosure of Interests and Short Position Reporting.
  • Provide advice on SFC licensing/Manager-In-Charge requirements.
  • Support business units and back offices on compliance issues.
  • Update and maintain compliance policy and procedure manuals.
  • Assist in ad hoc projects on new regulatory changes/development and business related projects.
  • Ensure day-to-day BAU is carried out effectively and efficiently, revamping internal workflow where necessary.
  • Supervise the team in handling FATCA/CRS reporting.


  • A university degree holder in Finance or related discipline.
  • 8-10 years’ compliance exposure in dealing with enquiries from the SFC on enforcement, intermediaries supervision and licensing issues is advantageous.
  • Previous experience working in the SFC (Intermediaries Supervision or Enforcement) is preferred.
  • Proven team management experience.
  • Sound knowledge in SFO and HKEX rules.
  • Proficiency in financial products knowledge.
  • Proficiency in using Microsoft Office.
  • Fluency in both written and spoken English and Chinese; fluency in Putonghua is essential.

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Financial Services

Salary: Negotiable

Workplace Type: On-site

Experience Level: Senior Management

Location: Hong Kong

Job Reference: EOQ0UH-252D580A

Date posted: 19 June 2024

Consultant: Jessie Chan

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