Head of Compliance, Hong Kong (12 months contract)- HK$1.2M base + Head of Compliance, Hong Kong (12 months  …

Aquis Search
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 May 20
HK$1.2M base +
Aquis Search
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 May 20
HK$1.2M base +
Our client, as Global Asset Management Company is looking for a Head of Compliance, Hong Kong to join their Global Compliance team. This role will manage all Hong Kong (HK) related compliance matters including HK licensing related matters and regulatory reports, reviewing marketing materials, dealing in investment compliance breaches, maintain good relationship with regulators, custodian or trustee and liaise with them where deemed necessary.

Responsibilities of the role:

• To manage all HK related compliance matters to ensure the firm’s licensed entities are compliance with all aspects of SFO, MPF regulations and other applicable HK regulations
• To supervise daily licensing-related matters, including preparing applications for corporate and individuals and filing annual returns to ensure compliance with local requirements
• To manage all regulatory reports, surveys and questionnaires to regulators, auditors and/or trustees and liaise with them on all arising enquires and issues,
• To handle investment compliance breaches, including preparing breaches reports to regulators, custodians and/or trustees, recommending and monitoring the preventative measures to be taken for the breaches
• To maintain good relationship with regulators such as Securities and Futures Commission and Mandatory Provident Fund Schemes Authority on compliance and regulatory matters for HK


Requirements of the role: 


• At least 10 years relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities and/or audit firms
• Strong knowledge of SFC and MPFA regulations and other regulatory requirements in Hong Kong
• Solid knowledge of and application of rules and regulations governing fund manager, investment adviser, broker dealer, fund distribution and/or transfer agent activities in Hong Kong
• Ability to commit and fulfil the contract duration and candidates available within short notice will be highly preferred

 

 

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