Head of Compliance, Head of Finance

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Besteam Personnel Consultancy Limited
  • 22 Sep 16

Our client, a leading & well-known Hong Kong financial services group, is looking for these roles:

Head of Compliance


  • Advise line managers on legal issues relating to investment banking, fund management, securities and all related matters;
  • Responsible for all legal documentation review before Management approval is sought;
  • Handle litigation, and all matters under negotiation with the regulatory bodies or counterparties;
  • Liaise with external lawyers on outsourced works; and
  • Work with various departments on developing and modifying practices and procedures to conform to legal or regulatory requirements;



  • A qualified lawyer with a minimum of 10 years’ post qualification experience;
  • In depth knowledge on securities brokerage, asset management and investment banking matters;
  • Experience in dealing with regulators;
  • Familiar with the Securities & Futures Ordinance and FATCA;
  • Good interpersonal and people management skills; and
  • Good command of written and spoken English and Chinese (including Putonghua).

Head of Finance


  • Responsible for developing and implementing financial strategy, planning and forecasts, to ensure good shape of financial and accounting system, financial robustness of the Company. 
  • To maintain timeliness, accuracy, and usefulness of financial and management reporting for the Management.
  • To ensure the proper company secretary records for the company.
  • Studies, analyzes and reports on trends, opportunities for expansion and projection of future company growth.
  • Oversee the Finance Department to ensure proper maintenance of all accounting systems and function and to make sure maintenance of appropriate internal controls and financial procedures. 
  • Oversees all company Finance practices, including preparing budgets, financial reports, tax and audit functions.
  • To coordinate audits and makes sure the proper filing of tax returns is handled in a timely manner.
  • To liaise with banks for account maintenance and banking facilities.
  • Be responsible for making sure all legal and regulatory compliance regarding all financial functions are kept.
  • Oversee the management and coordination of all fiscal reporting activities for the organization including: organizational revenue/expense and balance sheet reports, budget and other management reports, etc.
  • Monitor daily and monthly FRR.



  • University degree in Finance / Accounting with minimum 10 years’ post qualification experience mainly in finance industry particularly in wealth management and asset management
  • Certified Public Accountant (CPA) preferred
  • Strong Financial and accounting analysis skills
  • Strong ability to critically analyze and resolve Finance and operational issues
  • Demonstrated sense of strategic thinking, big picture orientation, prudent risk taking, self-awareness and adaptability are required
  • Ability to act with integrity at all times and maintain confidentiality of information
  • Excellent communication, listening, interpersonal and influencing skills
  • Excellent command of written & spoken English and Chinese