Compliance, Vice President - Chinese Brokerage House

VP in the compliance team to provide advice on compliance issues across SFC licensed type 1,2,4,6,9 activities

Your new company
Your new company is an expanding Chinese Brokerage House. They are looking for a Vice President (min. 7 years in-house compliance) to join the Legal & Compliance department to ensure that risks are properly identified and assessed, and performing extensive compliance review/ self-assessment for their businesses.

Your new role
As an influential member within the department, you will support the business with your compliance knowledge across all SFC regulated activities. You'll also be required conduct relevant compliance reviews, gap analysis and self-assessment. Below are the main objectives of your role:

  • Develop, review and enforce compliance programs in accordance with the policies and guidelines of the bank and regulatory bodies.
  • Act as the primary contact point with regulators and process licensing matters
  • Handle AML compliance matters and safeguard client on-boarding processes
  • Work closely with other business units and provide sufficient internal training on all regulatory compliance issues to enhance the compliance consciousness of all staff levels.

What you'll need to succeed
  • Ideally you will have at least 7 years of experiences in compliance functions
  • Prior experience working with Chinese financial institutions will be highly preferable.
  • Possess good knowledge of local regulatory requirements.
  • Good command of both spoken and written English and Chinese, Mandarin proficiency is an advantage

What you'll get in return
  • Competitive compensation package alongside consistent career development
  • Opportunities to work with experienced compliance specialists 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

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