Founded in 2002 with offices in Hong Kong, Singapore, Beijing and Shanghai, ALS International is a leading executive search firm specialising in the Financial Services, Legal, and Commerce sectors. Our consultants are industry experts and experienced recruitment professionals with strong global networks...

Founded in 2002 with offices in Hong Kong, Singapore, Beijing and Shanghai, ALS International is a leading executive search firm specialising in the Financial Services, Legal, and Commerce sectors. Our consultants are industry experts and experienced recruitment professionals with strong global networks and extensive knowledge of the local market. We are dedicated to helping candidates to take their career forward.  

For further information, please visit our website at www.alsrecruit.com.

Head of Compliance – Chinese Investment Management Company

Job level Senior
Education
Location Hong Kong Island
Employment type
Industry Financial Services
Job function Banking / Finance > Investment Banking / M & A
Banking / Finance > Legal / Compliance
Published On 14/10/2016
ref. CP-14525
  • Work Life Balance
  • Multicultural Environment
  • Attractive Remuneration

Our client is a State-Owned investment company who performs SFC regulated activities #1,4,6,9 , and they are seeking an experienced Compliance professional to lead the function.  The position will be based in Hong Kong, travel is not required. 

The Role

Reporting to the Head of Risk Management, you will be fully responsible for:

  • Oversees all the regulatory compliance matters for the firm
  • Handles licensing matters and enquiries from the SFC
  • Reviewing and ensuring the investment operations and relevant documentations are complied with SFC regulations
  • Preparing the regulatory filings
  • Advising on regulation matters from Fund set up and Corporate finance related transactions
  • Communicating with investors in terms of the investments and  compliance related matters

The Successful Applicant

You will be a University Graduate with at least 7 years’ relevant experience gained within the Asset Management Industry or regulators. Degree in Law or relevant qualification, CFA, or certificates from the securities regulations will be an advantage. Fluency in Mandarin and good communication skill are essential.

To apply for the position, please click the “Apply” button. For further information or a confidential discussion, please contact Emily Hong at +852 2920 9114.

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