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Open nowFirst seen 6 days ago

Head of Compliance | Asset Management, Confidential Hire | HK$80-85K

King Deux Search & Consulting348 open roles

Where
Hong Kong, Hong Kong
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Your applicationOpen nowHead of Compliance | Asset Management, Confidential Hire | HK$80-85KKing Deux Search & Consulting · Hong Kong, Hong Kong

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on King Deux Search & Consulting's own form.

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The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.7%14 days
  5. 35.6%30 days
  6. 58.0%60 days
This job: first seen 6 days ago

The posting

King Deux Search & Consulting is a specialised executive search firm which offers bespoke talent solutions across financial services and commerce. We are committed to not only finding the right opportunity for our candidates but also leaving a legacy that lives on beyond the hiring process.

Follow us at https://www.careers-page.com/kingdeux for updates on the exceptional clients we represent. Stay up-to-date on industry news and get your career consultation scheduled at kingdeux.com

About Your Company

This Hong Kong-based investment firm is recognized for its expertise in both digital and traditional asset strategies, employing advanced technology and research to serve institutional and high-net-worth clients. Fully licensed and committed to the highest standards of compliance and integrity, the firm brings together seasoned professionals from finance and technology backgrounds. The organization is currently seeking a Head of Compliance, an individual contributor role providing expert leadership and oversight for all regulatory matters.

Job Responsibilities:

  • Ensure daily operations adhere to Hong Kong SFC regulatory standards, including the Code on Unit Trusts and Mutual Funds and relevant circulars.
  • Oversee compliance support for the entire ETF product lifecycle, spanning from product development and authorization through to launch, distribution, and on-going maintenance.
  • Act as the primary point of contact with the SFC and other regulatory authorities for all ETF-related filings, submissions, and regulatory inquiries.
  • Review and approve ETF offering documents, factsheets, advertisements, and marketing materials to ensure compliance with SFC and internal requirements.
  • Monitor regulatory developments in Hong Kong impacting ETFs, assess implications, and provide timely communications to internal stakeholders.
  • Review, update, and draft internal policies, manuals, and procedures to ensure alignment with SFC requirements.
  • Lead and deliver training sessions on compliance, with a focus on ETF and passive investment products.
  • Conduct periodic compliance monitoring and reviews across front, middle, and back office functions.
  • Provide compliance advisory and support to business units managing ETFs and authorized funds.
  • Supervise AML/KYC checks and conduct necessary compliance investigations.
  • Design, implement, and refine compliance monitoring frameworks for ETFs.
  • Lead or participate in ad-hoc compliance projects as required.

Job Requirements:

  • Bachelors degree in Law, Finance, Business Administration, or a related discipline.
  • Minimum of 10-12 years relevant experience, with at least 5 years in authorized fund compliance, iBank or Financial Services sectors.
  • Strong working knowledge of SFC regulations regarding funds and ETFs; experience in the fund authorization process is essential.
  • SFC type 1, 4, and 9 licenses preferred.
  • Professional compliance or legal certifications are an advantage.
  • Prior experience in reviewing offering documents and coordinating with regulators.
  • Excellent communication, analytical, and critical-thinking abilities.
  • Able to work independently and as part of a team; proactive and detail-oriented.
  • Strong ability to interface and negotiate with regulatory authorities and a range of internal and external stakeholders.
  • Immediately Available or Short Notice would be a PLUS.

How To Apply

Interested parties, please send your CV directly to [email protected] or apply directly. Please note that only shortlisted applicants will be contacted.

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