Head of Central Compliance, Hong Kong

Key Responsibilities

• Provide strategic oversight and governance of regulatory reporting obligations, including Short Position Reporting and Disclosure of Interests, ensuring full compliance with applicable Hong Kong regulatory requirements.
• Lead the coordination and management of regulatory enquiries, inspections, and investigations (e.g. SFC Sections 181 and 329), acting as the primary point of contact with regulators and ensuring timely, accurate responses.
• Direct and enhance the firm’s compliance monitoring and testing framework, including surveillance of trading activities and implementation of robust control mechanisms to mitigate regulatory risks.
• Oversee all Hong Kong regulatory licensing matters, including staff licensing applications, filings, annual returns, and maintenance of comprehensive licensing records, ensuring adherence to regulatory standards.
• Establish and drive firm-wide compliance training strategy, including onboarding and ongoing Continuous Professional Training (CPT), fostering a strong culture of compliance and accountability.
• Govern core compliance processes, including employee personal account trading, staff dealing approvals, and internal policy adherence, ensuring effective risk management and control.
• Lead the preparation and presentation of risk assessments, compliance dashboards, and management information (MI) reports to senior management and relevant governance committees.
• Drive implementation of new regulatory initiatives and changes, providing strategic guidance, coordinating cross-functional efforts, and embedding regulatory requirements into business processes.
• Oversee and direct internal investigations into potential breaches of laws, regulations, and internal policies, ensuring appropriate escalation, remediation, and regulatory engagement where necessary.
• Lead and deliver strategic compliance projects, including policy development, process transformation, and control enhancements to strengthen the firm’s overall compliance framework.

Requirement

• 10+ years of relevant experience in compliance, internal controls, or regulatory functions within the securities industry, ideally gained at a leading global investment bank or through comparable experience in consulting or financial services audit
• Strong understanding of financial markets, products, and regulatory frameworks, with the ability to interpret evolving regulatory requirements and translate them into practical business solutions.
• Excellent analytical, problem-solving, and communication skills, with the ability to engage effectively with senior stakeholders and regulators.
• Proven ability to operate both strategically and hands-on in a lean team environment, maintaining high standards of accuracy and attention to detail.
• Advanced proficiency in Microsoft Office applications, particularly Excel and PowerPoint, with the ability to prepare high-quality management reports and presentations.
• Self-driven, proactive, and innovative mindset with strong leadership qualities and a commitment to fostering a culture of compliance and continuous improvement.