The Company

Head of Compliance overseeing SFC Type 4 & 9 activities, investment compliance, regulatory compliance, AML, licensing, governance, and SFC liaison

The Role

Key Responsibilities

• Lead and oversee all compliance activities for SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) licensed businesses, ensuring adherence to regulatory requirements and industry best practices.
• Act as the primary liaison with the Securities and Futures Commission (SFC), managing regulatory inspections, licensing matters, notifications, filings, and regulatory enquiries.
• Provide compliance advice to senior management and investment teams on fund management activities, new business initiatives, product launches, and regulatory developments.
• Oversee investment compliance monitoring, including pre-trade and post-trade surveillance, fund mandate compliance, investment guideline reviews, and breach management.
• Establish and maintain an effective compliance framework covering regulatory compliance, AML/CFT, internal controls, risk assessments, compliance testing, and governance reporting.
• Lead compliance training and promote a strong compliance culture across the organization while managing compliance risks, regulatory changes, and stakeholder communications.

Your Profile

Requirements

• Bachelor's degree in law, Finance, Accounting, Business Administration, or a related discipline; professional qualifications (e.g., CAMLP, ICA, ACAMS) are advantageous.
• Minimum 10-15 years of compliance experience gained within asset management, hedge funds, private equity, family offices, or investment management firms.
• Strong working knowledge of SFC regulations, including the Code of Conduct, Fund Manager Code of Conduct (FMCC), and requirements relating to Type 4 and Type 9 regulated activities.
• Proven experience managing regulatory inspections, licensing matters, regulatory filings, and direct interactions with the Securities and Futures Commission (SFC).
• Solid understanding of investment compliance, AML/CFT, regulatory compliance, corporate governance, and risk management frameworks within an asset management environment.
• Excellent leadership, stakeholder management, and communication skills, with the ability to influence senior management and operate as a trusted compliance advisor;

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.

Reference Number: 67010-0013475019

By clicking 'apply', you give your express consent that Robert Half may use your personal information to process your job application and to contact you from time to time for future employment opportunities. For further information on how Robert Half processes your personal information and how to access and correct your information, please read the Robert Half privacy notice: https://www.roberthalf.com/hk/en/privacy. Please do not submit any sensitive personal data to us in your resume (such as government ID numbers, ethnicity, gender, religion, marital status or trade union membership) as we do not collect your sensitive personal data at this time.