Compliance Head/Senior Compliance - 2 openings

We are partnering with two well-established Chinese financial institutions in Hong Kong to recruit senior compliance professionals. These are two distinct opportunities: one is a hands-on Compliance Head role with a listed Chinese brokerage (confidential search) , and the other is a one-man-band Compliance & Legal Director role with a leading Chinese asset manager. Both roles offer direct access to senior management and the chance to make a real impact in a focused, high-touch environment. Opportunity 1: Compliance Head – Equities, FICC & Equity Derivatives (Confidential Hire) Client: A prestigious Main Board-listed Chinese financial institution and leading boutique investment bank in Hong Kong. Key Qualifications & Requirements: Education: Bachelor’s degree or above in Law, Finance, Risk Management, Accounting, or a related discipline. Experience: Minimum 10+ years of broad compliance experience in Hong Kong, with a proven track record in a Team Lead, or Senior Director capacity at an SFC-licensed investment bank, brokerage, or international financial institution. Product Mastery (MUST-HAVE): Solid, hands-on advisory experience across all three pillars: 1. Equities, 2. FICC, 3. Equity Derivatives Regulatory Expertise: In-depth knowledge of the SFO, SFC Codes of Conduct, Client Money/Asset Rules, and cross-border regulatory frameworks governing SFC Type 1,2,4,5,6 and 9 activities. Language Skills: Fluency in English and Mandarin (both written and spoken) is required. Opportunity 2: Compliance & Legal Director – Asset Management (One-Man-Band) Client: A premier Chinese asset manager, headquartered in Mainland China and recognised as a top-tier mutual fund house, driven by long-term value investing. Role Type: Standalone (one-man-band) compliance and legal role covering the full spectrum for SFC-licensed Type 9 operations in Hong Kong. Key Qualifications & Requirements: 8–12 years of solid compliance and legal experience within SFC-licensed Type 9 asset managers; background in Chinese-funded / Mainland-linked asset management firms is highly preferred. University degree or above; LLB and/or LLM strongly preferred. Deep knowledge of SFC regulations and policies; hands-on experience with regulatory reporting and licensing. Excellent command of Mandarin, Cantonese and English (spoken and written). Strong analytical, judgement and problem-solving skills; meticulous, responsible and self-motivated. Able to work independently and manage multiple priorities in a standalone role.