Job opening - Head of Compliance - Asset Management in Hong Kong | Randstad Hong Kong

summary

hong kong
permanent
full-time

specialism
banking & financial services
sub specialism
compliance, risk & governance
reference number
91M0263995_8876908151182779001

job details

Key Responsibilities ...

Regulatory Compliance: Develop and maintain comprehensive compliance policies and procedures that are in line with SFC and other relevant regulations.

SFC Licensing & Regulatory Liaison: Oversee all aspects of SFC licensing for Types 1, 4, and 9 activities. This includes managing new license applications for the firm and its responsible officers, handling inquiries and inspections from the SFC, and ensuring timely reporting.

Manager-In-Charge (MIC) Responsibility: designated Manager-In-Charge for the Compliance and Anti-Money Laundering (AML) core functions. This involves having principal responsibility for these functions, which includes setting policies and procedures, monitoring compliance, and reporting to senior management and the Board on compliance matters.

AML/KYC & Financial Crime: Supervise the Anti-Money Laundering (AML) and Know Your Customer (KYC) programs. This includes overseeing client onboarding, due diligence processes, and monitoring for suspicious activities.

Advisory: Provide expert compliance advice to various teams, including investment, trading, and operations, on new products, business initiatives, and regulatory changes.

Monitoring & Surveillance: Conduct ongoing surveillance of trades and communications to prevent market misconduct and insider trading.

Policy Development: Lead the updating and development of the company's compliance manual, as well as AML, KYC, and data privacy policies.

Regulatory Liaison: Act as the primary contact for the SFC, handling inquiries, inspections, and reporting requirements.

Qualifications

In-depth knowledge of SFC regulations and licensing requirements for Type 1, 4, and 9 regulated activities.

Proven track record of successful SFC license applications for licensed corporations or responsible officers. Experience in preparing and submitting all necessary forms and supporting documents, such as business plans and internal control policies, is essential.

Strong understanding of AML/KYC and financial crime prevention.

Excellent communication and leadership skills.

Professional qualifications related to compliance are a plus.

Must be a fit and proper individual to be a Manager-in-Charge (MIC) for the Compliance and AML core functions, as defined by the SFC.

show more

Key Responsibilities

Regulatory Compliance: Develop and maintain comprehensive compliance policies and procedures that are in line with SFC and other relevant regulations.

SFC Licensing & Regulatory Liaison: Oversee all aspects of SFC licensing for Types 1, 4, and 9 activities. This includes managing new license applications for the firm and its responsible officers, handling inquiries and inspections from the SFC, and ensuring timely reporting.

Manager-In-Charge (MIC) Responsibility: designated Manager-In-Charge for the Compliance and Anti-Money Laundering (AML) core functions. This involves having principal responsibility for these functions, which includes setting policies and procedures, monitoring compliance, and reporting to senior management and the Board on compliance matters.

AML/KYC & Financial Crime: Supervise the Anti-Money Laundering (AML) and Know Your Customer (KYC) programs. This includes overseeing client onboarding, due diligence processes, and monitoring for suspicious activities.

Advisory: Provide expert compliance advice to various teams, including investment, trading, and operations, on new products, business initiatives, and regulatory changes.

Monitoring & Surveillance: Conduct ongoing surveillance of trades and communications to prevent market misconduct and insider trading.

Policy Development: Lead the updating and development of the company's compliance manual, as well as AML, KYC, and data privacy policies.

Regulatory Liaison: Act as the primary contact for the SFC, handling inquiries, inspections, and reporting requirements.

...

Qualifications

In-depth knowledge of SFC regulations and licensing requirements for Type 1, 4, and 9 regulated activities.

Proven track record of successful SFC license applications for licensed corporations or responsible officers. Experience in preparing and submitting all necessary forms and supporting documents, such as business plans and internal control policies, is essential.

Strong understanding of AML/KYC and financial crime prevention.

Excellent communication and leadership skills.

Professional qualifications related to compliance are a plus.

Must be a fit and proper individual to be a Manager-in-Charge (MIC) for the Compliance and AML core functions, as defined by the SFC.

show more

skills
no additional skills required
qualifications
no additional Qualifications required
education
Bachelor Degree

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andy chan

director of hong kong, leading u.s. financial services firm
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about the company.We are exclusively representing a premier U.S. financial services firm with a significant and long-standing presence in Asia. For over 40 years, our client has operated in Hong Kong, providing investors with secure, easy-to-use tools and resources for accessing the U.S. market. As an entity registered with the Securities & Futures Commission of Hong Kong (“SFC”), they are a key player in the region.about the job.We are seeking a senior, d
posted 10 september 2025
about the company.We are exclusively representing a premier U.S. financial services firm with a significant and long-standing presence in Asia. For over 40 years, our client has operated in Hong Kong, providing investors with secure, easy-to-use tools and resources for accessing the U.S. market. As an entity registered with the Securities & Futures Commission of Hong Kong (“SFC”), they are a key player in the region.about the job.We are seeking a senior, d
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director of hong kong, leading u.s. financial services firm, up
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about the company.We are exclusively representing a premier U.S. financial services firm with a significant and long-standing presence in Asia. For over 40 years, our client has operated in Hong Kong, providing investors with secure, easy-to-use tools and resources for accessing the U.S. market. As an entity registered with the Securities & Futures Commission of Hong Kong (“SFC”), they are a key player in the region.about the job.We are seeking a senior, d
posted 9 september 2025
about the company.We are exclusively representing a premier U.S. financial services firm with a significant and long-standing presence in Asia. For over 40 years, our client has operated in Hong Kong, providing investors with secure, easy-to-use tools and resources for accessing the U.S. market. As an entity registered with the Securities & Futures Commission of Hong Kong (“SFC”), they are a key player in the region.about the job.We are seeking a senior, d
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compliance manager- asset management
- permanent
• Regulatory Compliance: Create and maintain compliance policies aligned with SFC and other regulations.• Licensing: Manage SFC licensing for Types 1, 2, 4, and 9 activities.• AML/KYC & Financial Crime: Oversee AML/KYC programs, client onboarding, due diligence, and suspicious activity monitoring.• Advisory: Provide compliance guidance to investment, trading, and operations teams on products, initiatives, and regulatory changes.• Monitoring & Surveillance:
posted 20 august 2025
• Regulatory Compliance: Create and maintain compliance policies aligned with SFC and other regulations.• Licensing: Manage SFC licensing for Types 1, 2, 4, and 9 activities.• AML/KYC & Financial Crime: Oversee AML/KYC programs, client onboarding, due diligence, and suspicious activity monitoring.• Advisory: Provide compliance guidance to investment, trading, and operations teams on products, initiatives, and regulatory changes.• Monitoring & Surveillance:
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