Compliance Director

About the role

Lead and supervise the Compliance team, fostering high standards of risk awareness and regulatory adherence across the Group. Serve as a trusted advisor to the CEO and senior management on all compliance, legal, and risk mitigation matters.

Key responsibilities

• Lead and supervise the Compliance team, fostering high standards of risk awareness and regulatory adherence across the Group
• Serve as a trusted advisor to the CEO and senior management on all compliance, legal, and risk mitigation matters
• Provide expert compliance guidance across diverse business units regarding SFC Type 1, 4, and 9 regulated activities
• Oversee compliance and AML/CFT operations for life insurance business, ensuring full alignment with Insurance Authority (IA) requirements and international standards (e.g., FATF)
• Advise business units on compliance requirements for transactions and day-to-day operations
• Design, review, and enhance Group-wide compliance plans, policies, and internal control procedures
• Continuously update internal policies in line with the Hong Kong AMLO (Anti-Money Laundering and Counter-Terrorist Financing Ordinance) and IA guidelines
• Establish and execute compliance monitoring programs, including regular reviews of staff dealing activities to identify and resolve control gaps
• Oversee and maintain accurate statutory records to ensure compliance with the Hong Kong Companies Ordinance and relevant regulatory bodies
• Manage regulatory inspections, audits, and inquiries from governing authorities

About you

• Bachelor's degree in Law, Finance, Business Administration, or related disciplines
• 10+ years of solid compliance experience in financial institutions, with proven experience in SFC Type 1, 4, 9 regulated activities and IA compliance frameworks
• Deep understanding of the Hong Kong Companies Ordinance, SFC Codes, AMLO, and IA guidelines
• Be well versed with Hong Kong regulatory requirements
• Fluency in English and Chinese (Cantonese)
• Strong leadership, communication, commercial savvy skills and stakeholder management skills