Compliance Team Lead - Secondary Market
CLIENT BACKGROUND
Our client is a well-established financial institution in Hong Kong, recognized for its strong compliance culture and commitment to regulatory excellence. They are looking for a seasoned compliance professional to lead a small team and strengthen their Secondary Market Compliance team.
JOB RESPONSIBILITY
- Oversee advisory and monitoring activities within the Secondary Market Compliance team, acting as part of the second line of defense.
- Manage and mentor a team of 2-3 compliance professionals, ensuring timely and accurate reviews of regulatory requirements.
- Utilize SMARTS or similar trade surveillance systems to monitor trading activities and detect potential market misconduct.
- Conduct investigations and respond to SFC inquiries, including handling 1A1 and 1A2 requests.
- Provide regulatory updates and interpretations to business units, ensuring compliance with Hong Kong standards.
- Deliver compliance training and recommend process improvements to mitigate risks.
- Advise on new products, services, and marketing materials to ensure regulatory alignment.
- Liaise with regulators, auditors, and internal stakeholders on compliance matters, including inspections and investigations.
- Participate in business projects and provide compliance input throughout the process.
JOB REQUIREMENTS
- Bachelor's degree in Law, Accounting, Finance, or related disciplines.
- Minimum 8 years of compliance experience within the securities industry, with strong knowledge of Hong Kong regulatory frameworks.
- Proven experience managing a small team and handling complex compliance reviews.
- Familiarity with SMARTS or similar trade surveillance tools is highly desirable.
- Strong investigative skills and experience responding to SFC inquiries (1A1, 1A2).
- Excellent communication skills in Cantonese, Mandarin, and English.
- Candidates with Enhanced Competency Framework (ECF) qualifications are encouraged to highlight this in their application.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your CV and details on file so when we see similar roles or see skillsets that drive growth in organisations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.Â
That's why we recommend registering your cv so you can be considered for roles that have yet to be created.Â
Yes, we help with cv and interview preparation. From customised support on how to optimise your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.