Head of Compliance/ AEOI Reporting Officer
Hong Kong

Purpose of Role

The purpose of the role is to promote and maintain a positive compliance culture and awareness of regulatory and financial crime risk within the business.

To assist and support the business in achieving its strategic, financial and operational goals in line with the local regulatory and legal framework.

Additionally, the role holder will be responsible for on AEOI matters for Asia and the wider ZEDRA Group as and when required.

We aim to do more so we can achieve more.

Key Accountabilities

The role holder will act as the Money Laundering Compliance Officer to Zedra (Hong Kong) Limited and its subsidiaries. This is a Key Person position appointed to monitor whether the enactments in Hong Kong relating to money laundering and financing of terrorism and AML / CFT Codes of Practice are being complied with.

Specifically, it includes the following ML / TF regulatory obligations :

  • Monitoring compliance with, and testing the effectiveness of, policies and procedures.Monitoring policies, procedures and controls to ensure they are maintained in line with regulations and industry best practice.
  • Monitoring and testing the effectiveness of measures to raise awareness and training.

    Providing regular reports to the board in relation to ML / TF matters including issues requiring the Boards attention.

    The role also provides direction on Financial Crime Policies and Procedures, including those in relation to financial sanctions.

    Maintain an effective working relationship with local Regulators as well as other relevant competent authorities, responding promptly to requests for information made.

    Provide an effective AML / CFT and regulatory advisory service to the business.

    The role holder will act as the Compliance Officer to Zedra (Hong Kong) Limited and its subsidiaries. This is a Key Person position and includes the following regulatory obligations :

    Ensuring appropriate monitoring of operational performances and managing regulatory and compliance risk within the registered person, which includes :

  • Monitoring that the internal policies and procedures are being consistently and effectively adhered to.Assessing and recommending amendments to internal systems and controls as well as policies, and procedures to facilitate compliance with the regulatory framework.
  • Where appropriate, promptly instigating action to remedy any deficiencies in the robust arrangements.

    Providing senior management and the board of directors of the registered persons with regular written reports in respect of the registered person’s compliance with local requirements.

    Acting as the principal point of contact with local regulators on day-to-day regulatory matters.

    Overseeing Compliance aspects of the annual audit.

    Knowledge and Experience

    Professional and Technical Experience

  • Proven track record in the fiduciary services industry in senior role(s) with experience of the administration of trusts and company structures.
  • Detailed technical knowledge of Anti Money Laundering, Countering the Financing of Terrorism and all related financial crime legislation, codes and regulatory guidance as well as industry best practice is essential.

    Detailed understanding of AEOI matters and reporting requirements.A good working knowledge of local trust and company laws and regulation is essential.

    A good understanding of ZEDRA’s AML / CFT risk appetite and business practices.The role holder must have the technical knowledge and ability to build credibility with trust officers.

    Excellent organisational skills and attention to detail.Good communicator with the ability to explain regulatory concepts.

    Strong relationship building skills.Experience of risk and compliance within Financial Services and a solid understanding of the Wealth Management industry sector and the associated client needs.

    Personal Attributes & Requirements

  • Ability to work within a team environment.Ability to articulate succinctly and efficiently deal with a wide range of business issues.
  • Ability to deal with complex structures where regulatory and policy interpretation is required.Ability to investigate and challenge in a positive and non-confrontational manner.

    Seek to improve and develop existing working practices.Share best practices, coach and motivate others to succeed.Excellent organisational skills and attention to detail.

    Good communicator (verbal and written) with the ability to explain technical detail.Strong relationship building skills.Self-starter with the ability to work on own initiative.

    To be based in Hong Kong.

    Language Skills

    The right candidate will be fluent in English and Chinese (both Mandarin and Cantonese preferred), with strong written and oral communication skills.

    Strong written and verbal communication skills are a critical requirement of the position.

    Academic and Professional Qualifications

    The right candidate will have an established background at a senior level in financial services regulation and hold relevant professional qualifications.



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