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Open nowFirst seen 6 days ago

Compliance Advisory - Director ( Securities Brokerage)

NexusSearch International Limited97 open roles

Where
Hong Kong, Hong Kong SAR, Hong Kong
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Your applicationOpen nowCompliance Advisory - Director ( Securities Brokerage)NexusSearch International Limited · Hong Kong, Hong Kong SAR, Hong Kong

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on NexusSearch International Limited's own form.

The reply lands in your private mailbox

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The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.7%14 days
  5. 35.6%30 days
  6. 58.0%60 days
This job: first seen 6 days ago

The posting

Director‑Compliance

Job Responsibilities

  • Handle licence applications, regulatory notifications, regulatory enquiries, complaints handling, surveys and maintain relevant compliance records
  • Conduct transaction monitoring, trade surveillance, name screening, and investigate suspicious transaction alerts
  • Develop compliance monitoring programmes; conduct periodic compliance reviews (including staff personal‑account dealing reviews) to identify compliance and internal control risks
  • Perform AML/KYC and account opening reviews; deliver customer due diligence (CDD) and periodic reviews for retail and institutional clients
  • Provide compliance advice on FATCA and CRS reporting requirements
  • Review marketing materials, client‑facing documents and regulatory notices
  • Deliver internal compliance training and maintain CPT records
  • Provide ongoing compliance advisory and transaction‑related guidance to business teams
  • Complete ad‑hoc compliance projects and special initiatives as required
  • Support Legal & Compliance administrative work: maintain regulatory documentation, coordinate compliance activities, ensure accurate record‑keeping for regulatory reporting and compliance

Job Requirements

  • Bachelor's degree in Business, Finance, Law or other related disciplines
  • 4‑6 years legal and compliance experience gained from brokerage firms or regulatory authorities
  • Fluent in written and spoken English, Cantonese and Putonghua (mandatory)
  • Solid communication and presentation skills
  • Proactive working style, good team player
  • Strong sense of responsibility, able to work under pressure

Immediate availability is highly preferred

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    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on NexusSearch International Limited's form

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