Managing Director, Compliance & Internal Control - Asset Management firm in Hong Kong

We seek an accomplished compliance leader with minimum 12 years' progressive experience spanning top-tier regulatory agencies and multinational financial institutions. The successful candidate better possess direct SFC regulatory or Big4 Auditing experience, having managed full-cycle SFC inspections.

Cornerstone Global Partners - Hong Kong - Full time

Salary: HK$110k - HK$180k

Job responsibilities

  • Oversee the compliance requirements for the company as defined by SFC
  • Lead the firm while providing guidance to ensure best practices with industry standards
  • Advise on regulatory requirements and ensure timely escalation of any compliance issues
  • Provide strategic guidance to senior management related to compliance
  • Provide training and awareness programs to employees to ensure high understanding


Requirements

  • Minimum of 8 years of relevant compliance experience in asset management (public and private funds, managed accounts)
  • Knowledge in existing rules and regulations of licensed for Type 1, 4, 9
  • Knowledge with Bloomberg AIM (trading rule coding) is a must, MS Office applications and Chinese word processing
  • Fluent spoken English and Mandarin
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