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Head of Compliance - listed financial groupOmni Executive Search International (Hong Kong) Co., Limited
  • Not Specified
  • Salary provided
  • Posted on 25 Mar 2019
Head of Compliance - listed financial groupOmni Executive Search International (Hong Kong) Co., Limited
Job Highlights
  • listed financial group
  • excellent package
  • wide business exposure
Job Description

Our client is a listed financial group with global business presence. To cope with their business strategy, they are now inviting the Head of Compliance to join the Hong Kong office. 



  • Supervise and support all licensed activities (SFC Type 6 and 9), perform day-to-day compliance advisory duties and provide general Compliance advice and guidance across all business in Hong Kong
  • Oversee the compliance functions, including investment product compliance and general compliance, etc.
  • Ensure proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
  • Develop, update, review and provide inputs on compliance policies and guidelines, monitor the implementation of compliance policies and procedures, identifies gaps and recommends corrective actions
  • Deal with SFC and HKEX for all regulatory correspondences and application cases
  • Manage and keep tracking of CPD programs to comply with SFC requirements and offer internal education/ training classes to our staff
  • Perform ad-hoc compliance related projects




  • Bachelor degree or above in Law, Business, Finance or a related discipline
  • Over 10 years solid compliance experience in compliance areas preferably in financial institutions
  • Familiar with the Securities and Futures Ordinance, SFC rules and HKEX rules and regulations
  • Good understanding on investment company operations and familiar with investment products
  • Confident, self-motivated, organized, detail-oriented and strong analytical skills
  • High proficiency in written English and Chinese, with verbal fluency in Mandarin
  • Fluent in Chinese and English


 Please send your updated cv by clicking apply now, to book a confidential meeting with our consultant.

Additional Information
Years of Experience
10 years
Employment Type
Full Time
Five-day work week
Company details