Head of Compliance - Chinese Financial Institution
CLIENT BACKGROUND
A well-established financial institution with a strong presence in Hong Kong is seeking a seasoned compliance professional to lead its compliance function. The firm is committed to maintaining the highest standards of regulatory integrity and is looking for a strategic leader to drive its AML and compliance agenda. This is a confidential search for a senior-level appointment reporting directly to the CEO.
JOB RESPONSIBILITY
- Serve as the Manager-in-Charge (MIC) for AML and Compliance, ensuring full regulatory alignment across all business activities.
- Lead and manage a compliance team of 5-6 professionals, fostering a culture of accountability and continuous improvement.
- Oversee all-rounded compliance functions including AML, KYC, regulatory reporting, and product compliance.
- Act as the key liaison with regulators and internal stakeholders, providing expert guidance on compliance matters.
- Develop and implement compliance frameworks, policies, and procedures tailored to the firm's business model.
- Provide strategic input to senior management on emerging regulatory trends and risk mitigation strategies.
JOB REQUIREMENTS
- Minimum 15 years of relevant compliance experience within financial services, preferably in brokerage or wealth management.
- Proven leadership experience in managing compliance teams and driving regulatory initiatives.
- Strong knowledge of AML, KYC, and product compliance across various financial instruments.
- Familiarity with Hong Kong regulatory landscape and SFC requirements.
- Native-level fluency in Cantonese and English; preference for candidates with deep local market understanding.
- Excellent stakeholder management and communication skills, with the ability to influence at the executive level.
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