Head of Compliance | Asset Management, Confidential Hire | HK$80-85K

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About Your Company

This Hong Kong-based investment firm is recognized for its expertise in both digital and traditional asset strategies, employing advanced technology and research to serve institutional and high-net-worth clients. Fully licensed and committed to the highest standards of compliance and integrity, the firm brings together seasoned professionals from finance and technology backgrounds. The organization is currently seeking a Head of Compliance, an individual contributor role providing expert leadership and oversight for all regulatory matters.

Job Responsibilities:

• Ensure daily operations adhere to Hong Kong SFC regulatory standards, including the Code on Unit Trusts and Mutual Funds and relevant circulars.

• Oversee compliance support for the entire ETF product lifecycle, spanning from product development and authorization through to launch, distribution, and on-going maintenance.

• Act as the primary point of contact with the SFC and other regulatory authorities for all ETF-related filings, submissions, and regulatory inquiries.

• Review and approve ETF offering documents, factsheets, advertisements, and marketing materials to ensure compliance with SFC and internal requirements.

• Monitor regulatory developments in Hong Kong impacting ETFs, assess implications, and provide timely communications to internal stakeholders.

• Review, update, and draft internal policies, manuals, and procedures to ensure alignment with SFC requirements.

• Lead and deliver training sessions on compliance, with a focus on ETF and passive investment products.

• Conduct periodic compliance monitoring and reviews across front, middle, and back office functions.

• Provide compliance advisory and support to business units managing ETFs and authorized funds.

• Supervise AML/KYC checks and conduct necessary compliance investigations.

• Design, implement, and refine compliance monitoring frameworks for ETFs.

• Lead or participate in ad-hoc compliance projects as required.

Job Requirements:

• Bachelors degree in Law, Finance, Business Administration, or a related discipline.

• Minimum of 10-12 years relevant experience, with at least 5 years in authorized fund compliance, iBank or Financial Services sectors.

• Strong working knowledge of SFC regulations regarding funds and ETFs; experience in the fund authorization process is essential.

• SFC type 1, 4, and 9 licenses preferred.

• Professional compliance or legal certifications are an advantage.

• Prior experience in reviewing offering documents and coordinating with regulators.

• Excellent communication, analytical, and critical-thinking abilities.

• Able to work independently and as part of a team; proactive and detail-oriented.

• Strong ability to interface and negotiate with regulatory authorities and a range of internal and external stakeholders.

• Immediately Available or Short Notice would be a PLUS.

How To Apply

Interested parties, please send your CV directly to oscar@kingdeux.com or apply directly. Please note that only shortlisted applicants will be contacted.