Compliance/Chief Operation Officer - Top-Tier Global Investment House

  • Competitive with Bonus Scheme
  • Hong Kong
  • Permanent, Full time
  • Bo Le Associates Ltd
  • 20 Feb 18 2018-02-20

Our client is a global investment firm employing value investing approach and independent in-depth research. With AUM 1 Billion USD, they have been a pioneer of international investment in the Chinese private equity sector, with a winning track record over 15 years. They are currently looking for a COO/Compliance to lead their mid-back office with focuses on compliance. In the global journey that spanned more than 10 years, they weathered through a myriad of tough challenges in the global capital market, forming the system in global investment history of rise and fall as its core philosophy.

This role will take ownership of the compliance and regulatory functions for the fund including management of regulatory relationships, business compliance advisory, and development of a robust system of internal controls.

Main responsibilities:

- Providing discreet, actionable compliance advice to traders and portfolio managers on business activity across a number of asset classes

- Partnering with the firms leadership to ensure a robust system of internal controls

- Acting as the key liaison to all regulatory bodies the firm interfaces with throughout Asia

- Building and leading a team of dedicated compliance professionals


Ideal candidates should have:

- Demonstrated experience within the financial services industry as a senior compliance leader

- Strong understanding of financial products and global markets with the ability to provide advice with high value-added

- Solid experience in dealing with Hong Kong regulators, primarily the SFC