VP, Regional Compliance - Global Investment Firm

Job Title: VP, Regional Compliance - Global Investment Firm
Contract Type: Permanent
Location: Hong Kong
Reference: 04_150219
Contact Name: Gina Hui
Contact Email:
Job Published: February 15, 2019 17:35

Job Description

Our client, a global investment management firm is looking for a seasoned compliance specialist with hands on experience gained from the asset management industry to take up a Regional Compliance position based in Hong Kong.


  • Review compliance controls and processes are in place to comply with relevant local regulatory requirements
  • Develop, maintain, review and implement global and local policies, procedures and controls
  • Maintain and review the firm’s information barriers, restricted lists, and wall-crossing procedures
  • Assist in regulatory reporting, regulatory compliance risk, risk assessment for the firm’s office locations in APAC
  • Review and maintain AML / KYC internal and external workflows
  • Provide training to staff on Compliance related matters
  • Report directly to the Global Head of Compliance whist working closely with other colleagues in the team / globally on Compliance related matters


  • Bachelor Degree in Law, Economics, Risk Management, Finance or related discipline(s)
  • Minimum 8-10 years of Compliance experiences
  • Strong knowledge on regulatory requirements in the asset management industry and candidates with asset management experience gained from investment banks in Hong Kong will be preferred
  • Excellent command of written and spoken English

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