Compliance AVP - Securities Brokerage

Compliance AVP to support the Head of Compliance on all compliance related matters

Your new company
Your new company is a top-tier foreign securities brokerage house. They have newly created this headcount at Assistant Vice President (AVP) Level (min. 3 years in-house compliance) to join their Compliance team to ensure that risks are properly identified and assessed, and performing extensive compliance monitoring/control for their clearing business.

Your new role
As an influential member of the team, you will carry out the compliance monitoring programme on a risk-based approach and conduct gap analysis on internal compliance manual and procedures. Below are the mainly objectives of your role:

  • Develop, review and enforce compliance programmes in accordance with the policies and guidelines of the bank and regulatory bodies.
  • Conduct regular compliance reviews to ensure following of procedures are meeting regulatory requirements/ business changes
  • Advise on AML/CFT compliance program
  • Handle inquiries from regulators and licensing applications

What you'll need to succeed
  • Ideally you will have at least 3 years of compliance experience in securities brokerage.
  • Possess good knowledge of local regulatory (SFC) requirements.
  • Good command of both spoken and written English and Chinese.

What you'll get in return
  • Competitive compensation package alongside consistent career development
  • Opportunities to work with experienced compliance specialist within the field
  • Involvement in regional compliance projects
  • Lead and transform the strategy and future of a well-established team

What you need to do now
If you are currently looking for a new role within the Banking and Financial Services AML/Compliance function, or potentially exploring the market? Feel free to contact myself on +852 2230 7451 for a confidential discussion, and send me your CV to or visit our Banking page here:



Job Type
Banking & Financial Services
Banking and Financial Services

Talk to a consultant

Talk to Kelvin Tse, the specialist consultant managing this position, located in Hong Kong
6604-06,66/F, ICC, 1 Austin Road West, West Kowloon

Telephone: +85222307451