Head of Compliance

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Non-disclosed
  • 21 Sep 17

Head of Compliance - Global Award Winning Investment Bank - Hong Kong based.

My client, an internationally renowned & award winning corporate Investment bank are seeking a new Head of Compliance for their Hong Kong operations. Building on their already strong international presence, including over USD200bn worth of investments attracted already, this is an opportunity to join a growing and progressive organisation.


Reporting to the London based Global Head of Compliance and dotted line to the APAC CEO, this role will be in partner a global compliance team comprising c 30 individuals spread across their Europe and Asia offices.

The successful candidate will be given the opportunity to immediately contribute to the building of infrastructure at a developing investment bank. You will also gain a broad exposure to a multiple products & asset classes, and work as part of a project management team to implement new products and systems.

Core Responsibilities will include leading compliance culture, values and maintaining compliance visibility, policy and procedure development. Furthermore, you will lead the buildout and day to day running of the Global Control Room, compliance monitoring and surveillance programmes. You will lead financial crime and sanctions, support global overseas branches and developing compliance training programmes, enhance the compliance risk assessment framework and new product approval. You will contribute to maintaining the bank's governance model, regulatory and industry group liaison. Management of day to day compliance administration including approved person registrations, conflict clearance, Chinese wall crossing and KYC advisory.


Possessing excellent English & Cantonese language skills, you will hold the necessary confidence and gravitas to regularly engage senior business people on regulatory matters, you will also need to hold sound judgement with an ability to apply relevant regulation in a commercial context, ensuring the firm meets its obligations while allowing the firm to compete effectively in the region.

You will need to hold several years of General & Regulatory Compliance experience, ideally obtained working in one or more large international investment banks. A self-starter and driven character, you will be a subject matter expert in a wide range of compliance disciplines. You will have an awareness of the proper functioning of systems, processes and controls in an investment banking environment. Graduate level, with ideally a professional qualification (eg law, accountancy) you will hold experience in managing small teams, including personnel located remotely would be advantageous.

Job Offer

For the right candidate, my client will offer an industry competitive compensation package, career platform and excellent employee benefits

To apply online please click the Apply button below. For a confidential discussion about this role please contact Neil Mehaffey on 2848 9517 or .

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Neil Mehaffey on +852 2848 9517.