Kath Talent Research Group is a professional executive search and recruitment solutions firm with office in Hong Kong, London and Singapore which specializes in locating the top professionals in the Banking & Financial Services. With our well-built arrangement and staff strength, we are able to provide best-in-class talent acquisition and HR management services.

Our clients, Top Tier Banks and Financial Institutes, are currently looking for high caliber candidates to join their expanding team.

Head of Compliance

RESPONSIBILITIES:

l   Oversee and manage compliance matters related to the SFC licensed activities (Type 1,2,4,6,9) in Hong Kong, with particular experience in asset management.

l   Liaise with the regulators, auditors and legal counsel on compliance matters;

l   Handling correspondence with the SFC and other regulators

l   Monitoring and checking irregular regulated activates of different business units on a daily basis to identify potential problems and anomalies

l   Updating, assessing and improving the efficiency and effectiveness of existing operations to ensure of compliance with internal and external rules, policies and regulations

l   Identify potential compliance risk and pitfalls, and actively advise management and board to implement proper compliance program to address any potential regulatory problems

l   Keep track of regulatory changes and corporate governance trend, pro-actively advise management to develop guidelines and policies to cope with the ever-changing regulatory environment

REQUIREMENTS:

l   Professional degree holder with over 8-10 years' solid legal and/or compliance experience in non-bank financial conglomerate, with emphasis on asset management’s compliance experience

l   Experience with private funds regime and professional investors rules and regulations

l   Good knowledge of SFO, AML, KYC, FACTA, CRS, as well as financial rules and regulation in PRC

l   Superior communication skill with internal teams, and external parties such as regulators, legal councils, etc.

l   Experience to lead and manage a team of compliance professionals

l   Familiar with margin financing and money lending business will be a plus

l   Good command of written and spoken Chinese (Cantonese and Putonghua) and English

Interested parties, please send your resume to [email protected] com or call 2555-9266 for more information. All personal data collected will be kept in strict confidence and would only be used for recruitment purpose.