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Head of Compliance, Asset Management

  • Diverse Compliance Exposure
  • Expanding Business in Greater China
  • Leading Hedge Fund

Our client is a Leading Hedge Fund in Asia. As part of the growth, they are seeking a highly qualified individual to join their Compliance team in Hong Kong. As a valued member of the team, you will play a pivotal role in supporting our Asset Management business within a cross-regional financial services organisation. Your primary focus will be on evolving our governance framework and policies for Type 4 and 9 activities. You will collaborate with various functions across the firm, working closely with senior management to ensure compliance excellence.

The key responsibilities for this position are as follows:

  • Collaborate with key stakeholders to interpret and apply regulatory requirements specific to asset management operations in the APAC region.
  • Monitor and assess regulatory changes, promptly communicating relevant information to management and teams. Provide in-depth analysis on the impact of these changes to the business.
  • Develop and maintain compliance policies, procedures, and controls to effectively mitigate legal and regulatory risks.
  • Serve as the primary point of contact for regulatory audits and inspections, with a focus on conducting pre-audit gap analysis and implementing necessary remedial actions.
  • Establish and cultivate relationships with regulatory bodies, exchanges, and other relevant authorities to facilitate necessary approvals.
  • Manage the application process and ongoing obligations for relevant licenses and requirements, ensuring timely submissions and compliance with regulatory standards.
  • Analyse, interpret, and implement new rules and regulations affecting the asset management industry.
  • Prepare comprehensive management reports highlighting the firm's compliance controls, including an assessment of prevailing risks and recommended remediation strategies.
  • Organize and deliver regular internal compliance training sessions for licensed employees.

Successful applicants will have the following skills and experience:

  • Possess a minimum of 10 years of experience in Compliance, with a strong focus on the buy-side, specifically equities and fixed income businesses.
  • Demonstrate a deep understanding of Hong Kong SFC rules and regulations pertaining to Type 4 and 9 activities, along with a solid grasp of APAC exchange regulations.
  • Exhibit extensive knowledge of relevant laws, regulations, and industry standards within the asset management industry.
  • Showcase the ability to create original content for policies, present them for approval, and effectively execute them for adoption. Proficiently oversee resulting governance and monitoring processes.
  • Possess strong analytical and problem-solving skills, with the ability to navigate complex compliance issues and develop practical solutions.
  • Display excellent communication and interpersonal skills, enabling seamless collaboration with stakeholders at all levels of the organisation.
  • Demonstrate a proven track record of successfully managing regulatory onsite inspections and inquiries.
  • Fluency in both written and verbal English and Chinese is required.

Information provided is for recruitment purposes only.

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