Head of Compliance, Hong Kong recruitment
Responsibilities:
- Supervise/Provide compliance advice to senior management/business on new product launches(HK,SICAV,US,Korean,Singapore,TW,Malaysian,Chilean,ETF,alternatives)/projects/geographical expansions
- Supervise/ensure the firm is in compliance with HK SFC/US SEC regulations
- Registered as Chief Compliance Officer for the Hong Kong office with US SEC
- Compliance Representative under India SEBI
- Approved Person with SFC for SICAV / ETF funds, Complaint Officer with SFC for the HK office, Money Laundering Reporting Officer/emergency contact person with SFC
- Provide compliance advice to senior management as well as all business and functional units
- Work with other offices (Seoul, UK, US, India, Brazil, TW) on compliance issues
- Answer enquiries from regulators
- Supervise/ensure pertinent new regulations are rolled out
- Review compliance policies/procedures
- Conduct compliance training
- Supervise/assist the compliance team (including review of marketing materials, due diligence on counterparties)
- Handle and advise on regulatory related matters. Manage the company’s regulatory risk
- Supervise, handle and review internal company delegation agreement, distribution agreement and service agreement and other business, as required
- Work with compliance team and other business operation team for new product and regulatory matters
Requirements :
- Familiarity with HK and generally Asia Pacific (e.g. Singapore, Taiwan) regulations, experience in dealing in SFC authorized products, UCITS, hedge funds or ETF will be an advantage.
- At least 7 years of experience in compliance or legal area in investment management companies.
- Bachelor or Master Degree holders
- Excellent communications skills in English, Mandarin and Cantonese
- Able to work independently
To apply please click on the 'Apply online' button below or enter 23457/CLAU in the 'Job Ref Number/ Keyword' section of jobsearch.hk.hudson.com or contact Christina Lau on +852 2919 6176 for a confidential discussion. Alternatively, email your resume to hkresume@hudson.com quoting EFNC/23457/CLAU. Interested parties are required to supply their valid HK ID No. or Passport No. (for overseas applicants).
Your interest will be treated in strict confidence and only shortlisted candidates will be notified.
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