Head of Compliance APAC

Our client is a leading fund manager looking for a Head of Compliance for the APAC region. The chosen candidate will be responsible for leading and overseeing compliance management across secondary market business, ensuring that all activities adhere to both onshore and offshore regulatory requirements. The role is instrumental in fostering a robust compliance framework that supports the firm's ambitious growth trajectory.

Key Responsibilities

• Spearhead compliance management efforts for the firm's secondary market operations across the APAC region, ensuring full compliance with regulatory obligations as stipulated by authorities.
• Drive the enhancement of the existing compliance framework to align with the firm's strategic expansion goals. This involves critically evaluating current processes, identifying gaps, and implementing effective measures to strengthen compliance infrastructure across multiple jurisdictions.
• Oversee trading compliance responsibilities, including the formulation and execution of policies governing personal account trading, insider information management, and the maintenance of restricted lists. This ensures that the firm operates with the highest standards of ethical conduct and transparency.
• Manage day-to-day compliance operations such as Know Your Customer (KYC) and Anti-Money Laundering (AML) processes, regulatory reporting, coordination of audits, and meeting investor-specific compliance obligations. Demonstrating operational excellence in these areas is vital to maintaining the firm's credibility and regulatory standing.
• Stay abreast of evolving regulatory landscapes across APAC jurisdictions, ensuring that internal policies and procedures are continuously updated to reflect changes in legislation or industry standards. This requires a forward-thinking mindset and the ability to anticipate regulatory trends.
• Develop and deliver compliance training programs to instill a strong culture of compliance within the organization. The role involves engaging with employees at all levels to ensure compliance awareness is deeply embedded in the firm's DNA.
• Work closely with compliance teams across other regions to ensure that the firm's global standards are consistently implemented within the APAC region. This entails fostering a collaborative environment while tailoring compliance strategies to regional specificities.
• Act as the primary liaison with external regulators, auditors, and other key stakeholders in the region. This requires excellent communication skills and the ability to build strong, professional relationships with regulatory bodies.

Qualifications

• Possess 10-15 years of compliance experience, gained within sell-side and/or buy-side financial institutions.
• Demonstrate a comprehensive understanding of financial markets and regulatory frameworks within the APAC region, with particular emphasis on the regulatory requirements in Hong Kong and Singapore. This includes familiarity with local licensing requirements and regulatory filings.
• A robust understanding of secondary market products, including but not limited to equities, derivatives, and fixed income.
• Proven expertise in building, enhancing, or optimizing regional compliance frameworks.
• Strong leadership and communication skills to effectively manage internal teams and external relationships. The candidate should be a collaborative team player with the ability to influence and inspire others.