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Head of Compliance, Hong Kong

  • Leading Financial Institution
  • Key Leadership Position
  • Attractive Remuneration Package

Our client, who is a leading financial institution, offers a range of products and services to a diverse group of clients. This is an outstanding opportunity for an experienced Compliance professional to lead the Compliance team based in Hong Kong.

The key responsibilities for this position are as follows:

  • Advise the business on applicable rules and regulations for Hong Kong.
  • Manage the regulatory relationship with the SFC.
  • Partner with and provide challenge and oversight of the first line of defence, thereby providing assurance that regulatory expectations are understood and met.
  • Support the implementation of regulatory programs and changes from a second line prospective.
  • Embed the Firm’s framework for identifying and documenting all SFC compliance obligations through rules mapping, risk assessments, monitoring, and regulatory change management processes.
  • Manage the compliance function for Hong Kong by working with risk and compliance team members and relevant business and stakeholders.
  • Review and prepare policies and procedures for the Hong Kong business.
  • Identify, document and escalate potential regulatory risks.
  • Develop and conduct training across the Hong Kong business.

Successful applicants will have the following skills and experience

  • Degree qualified, with at least 10 years of Compliance experience gained in a leading bank, financial institution, or asset management firm.
  • Strong knowledge of Hong Kong rules and regulations, specifically SFC are essential for this role.
  • Experience in regulatory exams and audit management would be beneficial.
  • Ability to use initiative and work unsupervised in a proactive manner.
  • Strong organisational skills with a collaborative approach to work.
  • Outstanding interpersonal and communication skills.

Information provided is for recruitment purposes only.

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