Job Title

Head of Compliance, Director – HK & APAC Coverage

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Stella Huo

91 Active Positions

Job Description

The Company

Our client is a non-bank, financial services business with a strong presence in the region.



  • You will implement and maintain the Compliance Program, standards and policies across the Asia Pacific region
  • Monitor, track and communicate major proposals and trends on regulatory change and enforcement, including impact analysis
  • Provide Compliance coverage of the firm’s regulated and electronic trading platforms. Includes monitoring system development, alerts and incidents
  • Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements
  • Develop and deliver Compliance training and resources which enhances employee awareness and knowledge
  • Provide Compliance advice to the business and support groups to ensure Compliance with regulatory and company requirements and standards


Skills & Experiences required

  • Degree holder, preferably in Law or in a business-related discipline
  • At least 12-18 years of relevant Compliance experience in a regulated financial institution, ideally in a business facing role
  • Strong knowledge of financial industry rules and regulation
  • Ideally with experience working with key regulators in APAC, e.g. MAS, ASIC, HKSFC
  • Experience in liaising with securities regulators and managing regulatory inquiries, surveys and inspections
  • Prior experience developing and conducting training is strongly preferred
  • Excellent oral and written communication skills in English
  • Strong organizational, analytical and problem solving skills.
  • Experience dealing with stakeholders at all levels
  • This role is open to qualified lawyers with strong global markets product knowledge


For further information, please contact Edward Chen at 2523 9955;

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