Our Client, a Global Investment Management House, is looking to recruit their first local Compliance Officer for their Hong Kong Office, which is currently expanding its range of authorised activities. Reporting into the Global Head of Compliance, based in London, your duties will include.

• Taking responsibility for all local compliance and regulatory activities, including applying for additional regulatory approvals and permissions and setting up the compliance departmental procedures and controls, ensuring that the compliance plan is developed and implemented.
• Advising the business on their day-to-day regulatory obligations covering all aspects of their business activities in the region and covering all aspects of the business i.e. front, middle and back offices.
• Monitoring of all business activities and transactions, through establishing and embedding a robust periodic compliance monitoring programme.
• Remaining abreast with all local and international regulatory changes that may impact on the regions business activities, and advising relevant senior management as appropriate.
• Representing compliance at local committee and board meetings, including the production of quarterly compliance reports.
• Assist with the development of new products and ensure that all offering documentation and financial promotions are compliant.

The successful candidate will need to demonstrate a solid background in investment management compliance and must have an in-depth knowledge of Hong Kong FSC regulations.  While you must be fluent in spoken and written Cantonese, as important will be your ability to deal with all levels of staff and work under your own initiative with the ability to grow and establish the compliance function within a growing and changing business.

This role will receive the full support of the local CEO and the Global Head of Compliance and in addition to extensive local orientation, you will spend the first 4 weeks at the London office for a company and compliance induction programme.

Therefore if you are attracted by the opportunity to work for a business with over 20 years standing in Hong Kong but able to establish your own department as a greenfield opportunity, then please call Gary Collins for a confidential no obligation chat or send your details to gary@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.