Head of Compliance – Hedge Fund /Securities Brokerage Business

  • HK$2M plus bonus
  • Hong Kong
  • Permanent, Full time
  • Bo Le Associates Ltd
  • 04 Jul 17

Our client is a Hong Kong SFC licensed Hedge Fund and Securities Brokerage firm with decades of history and track records. To support their new business initiatives they are looking for an innovative compliance veteran to lead their Compliance team.

• Stable and proven business model

• New business initiatives to work on

• Up to HK$2M p.a. plus bonus

Responsibilities
• Review and update procedure manuals to ensure processes in compliance with regulations and internal policies
• Identify and assess compliance risks of the Hedge Fund & Securities Brokerage businesses
• Review and monitor compliance performance and provide recommendations for improvement
• Act as the contact point with the regulatory authorities and external auditors
• Keep abreast of the latest development of the regulatory rules and environment
• Prepare, update and/or filing of applicable compliance reports/forms/contracts for assigned area(s) of responsibility
• Recommend compliance solutions to support business initiatives the firm launches

Requirements
• Recognized university degree or equivalent
• 10+ years of experience in compliance/ legal related function in HK gained from Securities Brokerage House or Hedge Fund
• Good understanding of SFC regulations in Hong Kong. China/Taiwan exposure a plus
• Capacity to work in a lean team with a hands-on approach
• Ability to challenge the status quo and to present innovative solutions
• Fluency in English, Cantonese and Chinese
• Project Management skills, agility and adaptability, capacity to drive changes in an organization