Overview
Compliance Manager/Compliance Head Jobs in Hong Kong, Hong Kong SAR at Green Lake Executive Search
Title: Compliance Manager/Compliance Head
Company: Green Lake Executive Search
Location: Hong Kong, Hong Kong SAR
Compliance: Hands-on Head (Chinese Brokerage) /One-Man-Band Director (Chinese Asset Manager)
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.
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.
