Job ref no.: CT3115703-01#9963

Head of Compliance, Investment Bank

Taylor Root Global Legal Recruitment

  • Location:

    Hong Kong, Hong Kong

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:


  • Contact:

    Rosanne Wong

  • Contact email:

    by clicking Apply Now

  • Job ref:


  • Published:

    about 19 hours ago

  • Expiry date:



  • Identify potential areas of compliance risk and provide general advisory on any compliance related matters
  • Maintain relationships with local regulators and deal with regulatory and exchange enquiries
  • Provide internal training on general regulatory matters and oversee the Hong Kong compliance team
  • Provide compliance support and advice across all asset classes in Hong Kong and participate in new product approval process
  • Report directly to Asia COO and work closely with front office, operations and compliance colleagues globally


  • Bachelor Degree in Economics, Risk Management, Finance or related discipline
  • Minimum 10-15 years of experience in equities compliance from investment bank
  • Must have solid leadership and strong management skills
  • Must be articulate and fluent/native in English
  • Thorough knowledge of local regulatory framework

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More job information
Job ref no. CT3115703-01#9963
  • N/A
Job Function
Employment Term
  • Permanent
  • 10 years - 15 years
Career Level
  • Senior management level
  • Degree