Chief Compliance Officer

License Status CMA License Application In Progress

Our client offers round-the-clock, fast-execution trading with connectivity to global financial markets, delivering comprehensive investment and wealth management solutions for both retail and corporate clients. Its enduring success is grounded in a deep commitment to client-first values — the belief that doing business is not about maximising profit, but about being fair to clients and earning their trust through professionalism and reliability.

With a vision rooted in Hong Kong and oriented towards China and the broader Asia Pacific region, the organization is now executing a strategic international expansion.

As part of this growth trajectory, the firm is in the process of applying for a Capital Markets Authority (CMA) license in the Kingdom of Saudi Arabia, with the intention of offering securities dealing and related capital markets services to Saudi retail and institutional clients from its Riyadh office. This is a landmark moment for the organization — bringing 46 years of Asian capital markets expertise, a strong compliance culture, and a client-centric philosophy to one of the world’s fastest-growing capital markets.

The Saudi operation will uphold the organization’s mission of providing sincere, integrity-oriented, and pragmatic financial services that add real value to clients’ wealth.

The Chief Compliance Officer (CCO) is a senior executive role responsible for establishing, overseeing, and continuously enhancing the compliance framework of the Saudi entity in accordance with the regulatory requirements of the Capital Markets Authority (CMA) of the Kingdom of Saudi Arabia. The CCO will play a pivotal role during the CMA licensing phase and serve as the primary point of contact between the organization and the CMA.

This is a rare opportunity to build a compliance function from the ground up within a highly experienced international brokerage that brings significant global best practice, technology, and institutional knowledge to the Saudi market — backed by the credibility and track record of 46 years of regulated operations in Hong Kong.

• Lead and manage all compliance-related work streams in support of the organization’s CMA license application, including preparation, review, and submission of all required regulatory documentation.
• Serve as the designated compliance contact and primary liaison with the Capital Markets Authority (CMA) throughout the licensing process and on an ongoing basis post-licensing.
• Ensure the organization meets all CMA conditions precedent, fit and proper requirements, and ongoing regulatory obligations under the Capital Market Law and its implementing regulations, including the Securities Business Regulations.
• Support the establishment of the Saudi entity’s legal, operational, and governance infrastructure in a manner consistent with CMA requirements, drawing on the parent organization’s international brokerage experience while ensuring full local regulatory compliance.
• Monitor and respond to CMA circulars, directives, and regulatory updates, ensuring timely assessment and implementation within the organization.
• Prepare and submit all periodic regulatory reports, notifications, disclosures, and filings to the CMA as required under the applicable regulatory framework.

• Design, implement, and maintain a comprehensive compliance management framework for the Saudi entity, aligned with CMA regulations, the Capital Market Law, and applicable Saudi laws, while leveraging the parent organization’s international brokerage compliance standards and best practices.
• Develop, review, and update compliance policies, procedures, and manuals covering all activities of the Saudi retail brokerage operation, ensuring they remain current, effective, and consistent with CMA requirements.
• Establish and oversee a compliance monitoring and testing program to proactively identify, assess, and remediate compliance risks across retail client-facing and back-office functions.
• Develop and maintain a…