(Senior) Vice President - Compliance

Our client is a rapidly growing, technology-driven financial services platform offering digital brokerage, trading, and investment solutions to a global user base. The firm operates a highly scalable, app-based platform catering to both retail and sophisticated investors, with a strong emphasis on user experience, real-time market access, and data-driven insights.

With a presence across multiple jurisdictions, the business is regulated in key financial markets and continues to expand its product suite, including equities, derivatives, and wealth management solutions.

As part of its continued growth and commitment to regulatory excellence, the company is seeking a senior compliance leader to strengthen its oversight framework and support business expansion across digital channels.

Responsibilities

Regulatory Compliance & Advisory

• Lead and oversee the firm’s compliance framework in accordance with local regulatory requirements (e.g., SFC regulations)

• Provide practical, business-oriented compliance advice to internal stakeholders and act as the primary liaison with regulators

Licensing & Regulatory Management

• Maintain and manage all licensing matters

• Monitor regulatory developments and ensure ongoing compliance with licensing conditions and multi-jurisdictional regulatory obligations

AML / Financial Crime Compliance

• Oversee AML/CFT framework, including policies, procedures, and controls across KYC, transaction monitoring, and reporting

• Ensure timely escalation and resolution of financial crime risks

Digital Platform Compliance Oversight

• Partner with product and technology teams to embed compliance into digital platforms, user journeys, and system design

• Review new product launches and digital initiatives to ensure adherence to regulatory requirements and internal policies

Risk Management & Monitoring

• Conduct compliance risk assessments and implement monitoring, surveillance, and testing programs

• Identify control gaps and drive remediation efforts to strengthen the overall compliance framework

Requirements

Degree holder in Business, Finance, Law or other related disciplines

9+ years of compliance experience, with exposure in brokerage firms

Proficiency in written and spoken English, Cantonese, and Putonghua is a must

Possess stakeholder management skills and effective communication skills

Open-minded, flexible and down-to-earth