Job ref no.: CT3114630-01#7417

Head of Compliance at a global Asset Management firm

Mario Recruitment Limited

  • 5-day week
  • Discretionary bonus
  • Education subsidies
  • Medical plan

My client is a reputable financial institution with SFC Licenses in Type 1,4 & 9 in Hong Kong serving high net worth clients in investment management with offices worldwide. They now look for a Head of Compliance who is eligible to supervise the entire compliance functions of SFC regulated activities for their Hong Kong office.


Job Duties

  • Establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
  • Provide consultation to local and any overseas offices on SFO regulatory and compliance issues
  • Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties
  • Formulate, review and update the operational procedures to ensure full regulatory compliance for internal & external audits and regulatory inspections
  • Keep abreast of the latest regulatory requirements for provision of advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • Supervise fulfilment of SFC license holders’ requirements of CPT training
  • Handle compliance cases and complaints; to make necessary disclosures such as 
  • Lead regulatory projects and supervise team members to work with related departments

Job Requirements

  • Possess 10-15 years of solid experience in related areas
  • Have sound knowledge of HKEx rules, AMLCTFO, SFO, SFC codes & guidelines, FATCA, CRS regulations and guidelines of relevant regulatory authorities and risk management controls
  • A holder of bachelor degree or above in Law, Finance, Accounting, Business or related discipline(s)
  • With strong leadership, analytical, communication and presentation skills
  • A native or business professional level speaker of Cantonese or English

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More job information
Job ref no. CT3114630-01#7417
  • N/A
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 10 years - 15 years
Career Level
  • Senior management level
  • Degree