We are seeking a highly experienced and strategic Head of Compliance to lead and oversee all compliance activities within our client's organisation in Hong Kong. This is a critical leadership role responsible for ensuring that the company adheres to all relevant regulatory requirements, industry standards, and internal policies across all aspects of its operations.
The successful candidate will be the primary point of contact for all compliance-related matters, offering guidance and support to senior management and other business units. You will be responsible for developing and implementing a comprehensive compliance framework, conducting risk assessments, overseeing regulatory reporting, and promoting a strong culture of integrity and ethical conduct throughout the organisation.
Key Responsibilities:
- Lead the development, implementation, and maintenance of the company’s compliance strategy and framework.
- Ensure compliance with all local and international regulatory requirements, including those from the Securities and Futures Commission (SFC) and other relevant bodies.
- Conduct regular internal audits, risk assessments, and compliance testing across business operations.
- Monitor regulatory developments and provide guidance on applicable changes and best practices.
- Draft, review, and update compliance policies and procedures as required.
- Manage and deliver compliance training to all levels of staff.
- Act as the key liaison with regulators and external auditors during inspections and audits.
- Investigate, report, and manage breaches or potential breaches of compliance policies.
- Work closely with legal and risk management teams to ensure a cohesive control environment.
Requirements:
- Proven track record of at least 10 years in compliance roles, preferably within the financial services industry.
- Comprehensive knowledge of Hong Kong’s regulatory environment, including SFC regulations and AML requirements.
- Strong leadership skills with the ability to influence and build rapport across all levels of the organisation.
- Excellent analytical, problem-solving, and decision-making abilities.
- Exceptional communication skills, both written and verbal, in English; Cantonese or Mandarin language skills are an advantage.
- Degree in Law, Finance, Business, or a related discipline; relevant compliance certifications (e.g., CAMS, ICA) are highly desirable.
- Strong understanding of corporate governance principles and ethical business practices.
- Experience with developing and managing compliance monitoring programmes and reporting mechanisms.
