Regional Compliance Manager
Our client, a leading global financial services provider is seeking to appoint an experienced Compliance Manager to join their regional Compliance function and undertake a broad and varied regional role based here in Hong Kong.
The regional Compliance function is responsible for all significant compliance and regulatory issues across the North Asia region and as such the job holder will undertake a number of functions including Anti-Money Laundering Risk Advisory, Regulatory Risk, Compliance Investigations, New Product support/advisory and Business Conduct Risk. This role will report directly to the regional head of the function and also have managerial responsibility for a small team.
Key duties will include but not be limited to:
- Developing and implementing detailed Compliance Risk strategies within the applicable jurisdictions.
- Assist in the development and implementation of the Cross Border regulatory Policy framework for the group.
- Carry out detailed Compliance investigations to identify and control any potential AML/CTF issues.
- Carry out reviews of potential high risk accounts and make recommendations of improvements regarding Anti-Money Laundering (AML) and Counter Terrorist Financing (CTF) issues.
- Maintain regular contact with the relevant regulators and ensure the business is regularly updated as to developments and changes that will affect the organisation at both a country and regional level.
In order to be suitable for the role, the ideal candidate will ideally have experience in/of:
- Minimum of 8 years experience in a comparable compliance/control role in a regulated financial services environment – experience gained in a regulatory environment would be beneficial.
- Knowledge and understanding of the regulatory landscape in Hong Kong. Experience of dealing with multiple Asian regulators is advantageous.
- Understanding and practical experience of carrying out compliance investigations within a regulated financial services organisation is ideal.
- Fluency in both English and an additional Asian language preferred.
This is an outstanding opportunity to undertake a multi-faceted role, work on interesting and intricate projects and learn from an experienced team. Our client rewards employee contribution, is passionate about developing their potential and the culture will suit individuals who enjoy working as part of a high performing team.
If this position is of interest, please contact Ross Campbell of Barclay Simpson for a confidential conversation on +852 2546 2955 or e mail your resume to rjc@barclaysimpson.com
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