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Asset Management - Head of Compliance

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    7 months ago

  • Expiry date:


  • Startdate:


My client is a leading Hong Kong-headquartered comprehensive financial institution with investment banking, asset management and insurance brokerage service. They are currently looking for a Head of Compliance to lead the team of 4, executing regulatory compliance and operational risk testing coverage for business lines.

My client offers an attractive salary package with a track record 4-6 months bonus every year. It would be a great opportunity for candidates to step up as the senior management with great exposure in different business lines.



  • Lead the compliance team on all compliance matters
  • Design, develop and implement testing programmes in accordance with relevant rules and regulations 
  • Evaluate the adequacy and effectiveness of compliance policies and procedures
  • Identify the risks and examine the effectiveness of controls to ensure compliance align with the law and regulations
  • Work closely with business lines to provide advice and support in compliance and risk-related issues


  • University graduate with an accounting, finance, risk, legal or related discipline(s)
  • Minimum 8 years of general compliance experience in general compliance, preferably gain from investment banks/securities brokerage firms
  • Sound knowledge in SFC regulated activities (Type 1, 2, 4, 6, 9) and AML/CFT regulatory requirements, knowledge in CIB regulations will be a plus
  • Candidate with legal background will be a plus 
  • Proficient in written and spoken Chinese and English 


For interested parties, please contact Winifred at +852 2777 6277 or for further discussions.