Head of Compliance

Hong Kong

• Team Leadership Focused
• Attractive Remuneration Package

Our client is a leading financial institution with well-established businesses in brokerage, wealth management and capital markets.  A need has arisen within the Compliance function for an experienced Compliance Head to lead a big team.

Reporting to the Group CFO and managing a big team of compliance professionals, you will be fully responsible for:

• Acting as the point of contact to the regulatory authorities
• Advising business and operations units on any compliance related issues
• Developing policy & procedures and guidelines for the entire business and reviewing marketing materials and advertisements to ensure compliance with the regulatory requirements
• Developing AML monitoring functions and implementing AML checking system
• Designing surveillance programs and performing regular compliance monitoring and investigations
• Keeping abreast of the latest legal and regulatory requirements and promoting internal compliance awareness and culture
• Verifying implementation of recommendation from regulators , external and internal auditors, to resolve compliance relating issues

The Successful Applicant

You will be a University Graduate holding a degree in law and/or economics preferred with at least 10 years experience gained within a securities brokerage compliance function.  You will possess sound knowledge of Hong Kong and regional compliance (i.e. HKMA/SFO) and have strong communication, analytical and leadership skills. Hands on experience with asset management business will be an advantage.  Fluency in English and Mandarin, both written and spoken is essential.

Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.

(WS/7755)