Head of Compliance
Hong Kong, Hong Kong

Responsibilities :

  • Acting as the Head of Compliance to provide professional advice to business actives in related to SFC type 1,4,5,6 and 9 activities
  • Improve, maintain and update compliance and internal control policies.
  • Provide necessary advice to the business.
  • Revise, improve and implement the Compliance Manual and Operations Procedures for the investment platform, including code of conduct, restricted / watch list procedures, conflicts of interest, suitability, product due diligence, anti-corruption & bribery, AML ,and asset management policies and procedures.
  • Provide compliance training to front office departments.
  • Conduct gap analysis on new / change in regulations and update the relevant procedures.
  • Serve as one of the point of contact with regulators.
  • Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk
  • Acting as the department head on developing compliance policies and procedures which meet compliance standards.
  • Identify regulatory or reputation risks and escalate to board level for resolution
  • Take a leading role in strategic and policy issues regarding compliance and regulatory matters affecting the business in the country and / or region
  • Initiates, leads and executes global or regional compliance projects
  • Requirements :

  • Minimum 8 years of compliance experience in a SFC licensed institution, preferably from Asset Management firm, Fund House or Investment Bank that covers type 6 and 9 business.
  • Degree or above in any related discipline.
  • Fluent in English or Mandarin is preferred but not mandatory.
  • Benefits

  • Friendly company culture.
  • Great Career progression.
  • Fully comprehensive medical insurance and personal insurance
  • Great MPF Pension Scheme
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