Description

• Looking for 8-10 years of asset management compliance experience !
• Must have experience with the SFC and ETF Funds knowledge !

About Our Client

The employer is a global asset management firm with offices world wide. In HK they are a boutique asset management firm with about 20 staff.

Job Description

As a Head of Compliance, your main responsibilities will include:

• Manage a small team of compliance staff whilst being the MIC with the SFC regulator
• Main point of contact with the SFC
• provide compliance advisory for all their fund products including ETF funds
• Developing and implementing compliance programs to meet regulatory requirements in Hong Kong.
• Monitoring internal controls and ensuring adherence to company policies and procedures.
• Conducting compliance training programs for employees across departments.
• Overseeing audits and investigations to address compliance concerns effectively.
• Collaborating with other departments to ensure seamless integration of compliance practices.
• Preparing regular compliance reports for senior management.

The Successful Applicant

A successful Head of Compliance should have:

• bachelor degree
• 8-10 years of compliance experience within asset management firm
• must have ETF funds knowledge
• must have strong experience in liaising with the SFC regulator
• Must be fluent and articulate in english

What's on Offer

• Senior level role
• Good work life balance !
• Collaborative and professional company culture based in Hong Kong.

If you are ready to take on this exciting challenge as a Head of Compliance, we encourage you to apply now!