Head of Compliance, Investment Bank

  • Location

    Hong Kong, Hong Kong

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:


  • Contact:

    Rosanne Wong

  • Contact email:


  • Job ref:


  • Published:

    over 1 year ago

  • Expiry date:



  • Identify potential areas of compliance risk and provide general advisory on any compliance related matters
  • Maintain relationships with local regulators and deal with regulatory and exchange enquiries
  • Provide internal training on general regulatory matters and oversee the Hong Kong compliance team
  • Provide compliance support and advice across all asset classes in Hong Kong and participate in new product approval process
  • Report directly to Asia COO and work closely with front office, operations and compliance colleagues globally


  • Bachelor Degree in Economics, Risk Management, Finance or related discipline
  • Minimum 10-15 years of experience in equities compliance from investment bank
  • Must have solid leadership and strong management skills
  • Must be articulate and fluent/native in English
  • Thorough knowledge of local regulatory framework

Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.