Head of Compliance

The Company is in search of a Head of Compliance to take on a pivotal role in overseeing and advising on all Hong Kong and North Asia related compliance and regulatory matters. The successful candidate will be the primary liaison to the SFC exchanges and other regulatory bodies, responsible for researching, interpreting, and ensuring the firm's compliance with all relevant laws, regulations, and guidance. This includes managing the implementation of strategies and frameworks to meet SFC and exchange requirements, as well as handling all regulatory inspections and audits. The role demands a self-starter with strong analytical and organizational skills, the ability to manage a small team, and a proven track record in financial services regulatory compliance. Applicants for the Head of Compliance position at the company must have a background that includes prior SFC regulatory liaison experience and a deep understanding of equities-related products and brokerage-based compliance. The ideal candidate will have a stable, long-term career mindset and a history of long-term employment. Strong technical orientation, a can-do attitude, and fluency in English and Cantonese are essential. The role requires a proactive individual who is comfortable with technology as it applies to trading, surveillance, and compliance, and who can work effectively in a dynamic, fast-paced environment. Responsibilities also include drafting and implementing firm policies, written supervisory procedures, and assisting in the development of written instructions for technology staff to ensure compliance with regulatory changes.