Our client is a premier, ASIC-licensed financial technology firm. As part of their strategic global roadmap, they are establishing a new regional hub in Hong Kong to aggressively capture the APAC market, with a specific focus on the Retail and Introducing Broker (IB) sectors in Greater China and Southeast Asia. Backed by Tier-1 regulation and strong capital, this is a rare opportunity to join a founding team in HK and drive the growth of a future market leader.

Job Description: As the Head of Compliance, you will be the guardian of our regulatory standing. You will ensure that our expansion into APAC adheres to the highest standards, particularly aligning with our ASIC license obligations and local requirements.

Responsibilities:

• Regulatory Implementation: Interpret and implement various laws and regulations (e.g., AML, Client Money, Best Execution, Disclosure), ensuring full process compliance.

• Policy Management: Formulate and update internal compliance policies, manuals, and training plans, and supervise their execution.

• Regulator Relations: Handle inquiries, inspections, and report submissions to regulatory bodies; maintain good communication channels.

• Complaints Handling: Manage the client complaint process to ensure timely and compliant resolutions.

• Risk Assessment: Conduct regular compliance reviews and monitoring to identify and assess compliance risks, reporting to senior management.

• Advisory: Provide compliance opinions for new products, market expansion, and marketing materials.

Requirements:

• Bachelor’s degree or above in Law, Finance, Accounting, or related fields.

• 5+ years of compliance experience in the financial industry, with at least 3 years in an FX/CFD brokerage.

• Deep understanding of regulatory frameworks and core regulations in major global jurisdictions (e.g., CySEC, FCA, ASIC).

• Proficient in AML/CTF regulations and practical operations.

• Excellent written and verbal communication skills in English and Chinese.

• Integrity, strong principles, attention to detail; holder of international compliance qualifications (e.g., ICA, ACAMS) or legal qualifications preferred.

Duties:

1. Responsible for interpreting and implementing various laws and regulations that the company is subject to (such as anti-money laundering, client funds, best execution, information disclosure, etc.), ensuring that the entire business process is compliant.

2. Develop, update company internal compliance policies, manuals and training plans, and supervise their implementation.

3. Respond to inquiries, inspections and report submissions from regulatory agencies, establish and maintain good regulatory communication channels.

4. Manage customer complaint handling process to ensure timely and compliant resolution of complaints.

5. Conduct regular compliance reviews and monitoring, identify, assess and manage compliance risks, and report to senior management and relevant departments.

6. Provide compliance review opinions for new products, new market expansion and marketing materials.

Requirements:

1. Bachelor's degree or above, majoring in law, finance, accounting or related fields.

3. Deep understanding of the regulatory frameworks and core provisions of major global jurisdictions (such as CySEC, FCA, ASIC).

4. Proficient in anti-money laundering/counter-terrorist financing regulations and practical operations.

5. Have excellent written and oral communication skills, able to clearly explain complex compliance requirements.

6. Straightforward and honest, strong in principles, attention to details, and able to work independently and collaboratively with others.

7. Preference will be given to those with internationally recognized compliance qualifications (such as ICA, ACAMS) or legal professional qualifications.