Head of Risk and Compliance
Our client is a global asset management with over US1 billion under management servicing a top-tier institutional client base. With an ever growing presence in the Asia market, they are seeking a capable compliance professional to help manage the Legal, Risk and Compliance matters for their business
The Role
Reporting to the Chief Operating Officer, you will be fully responsible for the following:
- Review and maintain compliance manual for completeness, relevance and accuracy
- Maintain all compliance programs (PA Trading, Gifts Entertainment, Complaints, licensing/CPT, Privacy, Allocations etc)
- Remain updated and provide in-house guidance on all relevant regulatory regimes
- Prepare and submit all regulatory filings
- Maintain constructive relationships with regulators in particular the SFC ASIC
- Lead and run the Group/Local Risk and Compliance Committees
- Provide first pass review of all legal contracts
- Enhance and implement existing risk framework (i.e. develop KRI’s report templates and policy documents)
The Successful Applicant
You will be a University Graduate holding a degree in law and/or economics with at least 10 years’ experience gained within an asset management compliance function. You will possess sound knowledge of Hong Kong and regional compliance and regulatory laws and have strong communication, analytical and leadership skills. Hands on experience with Risk, Legal Compliance areas will be an advantage. Fluency in English is essential.
Contact Us
Please press the APPLY button or email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion. For more Compliance positions, please visit our website (http://alsrecruit.com/) and contact us for details. (EF/9236)
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