Head of Compliance – Global Fintech Brokerage

We are partnering with a global fintech brokerage to find a Head of Compliance for their Hong Kong office. This role will serve as the Manager-In-Charge (MIC) for Compliance, reporting directly to the Board.

You will lead the Regulatory Compliance and Financial Crime Compliance functions while partnering with senior management on day-to-day strategic and operational matters. As Head of Compliance, you will act as the MIC for Compliance, spearheading the local compliance framework and overseeing both Regulatory Compliance and Financial Crime Compliance (AML/CFT). You will build and maintain strong, proactive relationships with local regulatory bodies—primarily the Securities and Futures Commission (SFC)—handling regulatory inquiries, examinations, and reporting obligations. The role involves providing strategic, hands-on compliance advice to the senior management team and business units, anticipating regulatory risks, and advising on commercial initiatives. You will also design, update, and implement robust compliance policies, procedures, and internal controls tailored to a fast-paced fintech and brokerage environment, ensuring adherence to SFC Type 1 and Type 2 regulated activities. Additionally, you will collaborate closely with internal stakeholders, global compliance counterparts, and external business partners while overseeing regular compliance monitoring, surveillance, and employee training programs to foster a strong risk-aware culture across the Hong Kong office.

The successful candidate must have over 15 years of compliance experience within the financial services sector, specifically covering regulatory compliance for SFC Type 1 and Type 2 regulated activities, with prior experience acting as an SFC Manager-In-Charge (MIC) preferred. You should possess a deep understanding of Hong Kong regulatory frameworks, market practices, and financial crime compliance standards. Excellent communication skills with fluency in English and Chinese (both Cantonese and Mandarin essential) are required to successfully liaise with regional stakeholders and regulators.

Please send your CV to Vivian Chen at vchen@ashford-benjamin.com, or call +852 2315 9503 for a confidential discussion.