Job ref no.: CT3115413-01#5375

Compliance Director, Hong Kong Listed Financial Services Group

Charterhouse Partnership

This is an exciting leadership position with a highly capitalized and fast expanding business.  The successful candidate will lead the compliance function of the Hong Kong office and will be responsible for providing best-in-class compliance expertise to ensure the firm’s policies, operating practices, products and procedures are in compliance with all applicable rules, laws and regulations.  He/she will:

  • Prepare and develop compliance manuals and procedures
  • Review and update policies and procedures to ensure compliance with applicable laws and regulations and the firm's stated policies and procedures
  • Assess and keep management up-to-date on relevant industry regulations
  • Liaise with local regulators and handles regulatory inquiries, audits and inspections
  • Conduct regular compliance training etc.

The ideal candidate will have

  • Bachelor's degree or higher with a major in Finance, Accounting, Economics or related disciplines  
  • At least 10 years of compliance experience with no less than 5 years of experience working with a brokerage/asset management firm or a regulator
  • Experience in Type 1, 4, 6 or 9 regulated activities under the SFO
  • More than 2-3 years of management  experience
  • Excellent command of spoken and written English and Chinese

Interested parties please click Apply Now to apply job

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More job information
Job ref no. CT3115413-01#5375
  • N/A
Job Function
  • 10 years - 15 years
Career Level
  • Non-management level
  • Asso. Deg or High Dip
  • Degree