VP, Head of Compliance, International Brokerage / Research Firm

Job Title: VP, Head of Compliance, International Brokerage / Research Firm
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: SW 18381_1583715290
Contact Name: Sonny Wong
Contact Email:
Job Published: March 09, 2020 08:54

Job Description

Leading international brokerage / research firm is seeking a Head of Compliance to assist with a broad range of compliance matters including monitoring, surveillance, advisory, AML and core/central compliance matters. You will be responsible for overseeing the current compliance policies / procedures and enhancing these when required. This is a highly visible role with exposure to the front office - this role is based on the trading floor.

The successful candidate will possess approximately 10-15 years of relevant experience gained with international financial institutions. Excellent communication and interpersonal skills are required. Experience gained in another brokerage is highly desirable. However, experience gained from larger investments banks in sales, trading or research compliance will also be considered. Fluency in English and Cantonese is required. Mandarin skills would be advantageous. A proactive mind-set is required with the ability to interact with senior stakeholders.

This would be a great step up for someone wanting to move into a role with more responsibility. Great working culture / environment on offer.

Suitable candidate should contact Sonny Wong at for a confidential discussion.