Head of Compliance

Job Title: Head of Compliance
Contract Type: Contract
Location: Hong Kong
Contact Name: Gina Hui
Contact Email: Gina Hui
Job Published: April 27, 2020 10:30

Job Description

Head of Compliance, Hong Kong (12 months contract)- HK$1.2M base +

Our client, as Global Asset Management Company is looking for a Head of Compliance, Hong Kong to join their Global Compliance team. This role will manage all Hong Kong (HK) related compliance matters including HK licensing related matters and regulatory reports, reviewing marketing materials, dealing in investment compliance breaches, maintain a good relationship with regulators, custodian, or trustee, and liaise with them where deemed necessary.

Responsibilities of the role:

  • To manage all HK related compliance matters to ensure the firm’s licensed entities are compliance with all aspects of SFO, MPF regulations, and other applicable HK regulations
  • To supervise daily licensing-related matters, including preparing applications for corporate and individuals and filing annual returns to ensure compliance with local requirements
  • To manage all regulatory reports, surveys and questionnaires to regulators, auditors and/or trustees and liaise with them on all arising enquires and issues,
  • To handle investment compliance breaches, including preparing breaches reports to regulators, custodians and/or trustees, recommending and monitoring the preventative measures to be taken for the breaches
  • To maintain a good relationship with regulators such as the Securities and Futures Commission and Mandatory Provident Fund Schemes Authority on compliance and regulatory matters for HK

Requirements of the role: 

  • At least 10 years of relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities and/or audit firms
  • Strong knowledge of SFC and MPFA regulations and other regulatory requirements in Hong Kong
  • Solid knowledge of and application of rules and regulations governing fund manager, investment adviser, broker-dealer, fund distribution and/or transfer agent activities in Hong Kong
  • Ability to commit and fulfill the contract duration and candidates available within short notice will be highly preferred

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