Description

Key responsibilities:

• Lead the Hong Kong central compliance function, shaping governance frameworks that ensure regulatory integrity and alignment with evolving regulatory requirements
• Own all Hong Kong regulatory reporting, licensing, and regulator engagement, serving as the primary liaison for enquiries, inspections, investigations, and statutory submissions
• Strengthen enterprise-wide risk oversight by enhancing compliance monitoring, trading surveillance, and internal control frameworks across business activities
• Champion a strong culture of integrity by leading compliance training programmes and promoting adherence to internal policies and regulatory standard
• Oversee employee conduct, personal account dealing, and breach management, directing investigations, remediation, and regulatory escalations where required
• Partner with business leaders to implement new regulatory requirements, providing strategic guidance and embedding regulatory changes across the organisation
• Deliver executive-level risk assessments, governance reporting, and strategic compliance initiatives that support informed decision-making and continuously strengthen the firm's compliance framework

Candidate profile:

• 10+ years' compliance, regulatory, internal controls, or audit experience within the securities industry, ideally gained in a global investment bank, financial institution, or consulting environment
• Strong expertise in financial markets, investment products, and complex regulatory frameworks, with the ability to translate evolving regulations into practical business solutions
• Experience operating in fast-paced, lean, and highly regulated environments, balancing strategic leadership with hands-on execution while maintaining exceptional accuracy and attention to detail
• Strong analytical and reporting capabilities, with advanced Excel and PowerPoint skills for delivering executive-level management information, risk reporting, and governance presentations
• Excellent analytical, communication, and stakeholder management skills, with a proactive leadership style and the ability to influence senior stakeholders, regulators, and drive continuous compliance improvement

About the company:

A leading global financial institution delivers sophisticated investment banking and capital markets solutions to clients worldwide, recognised for its strong market presence and collaborative approach to innovation. Joining this organisation offers the opportunity to work alongside industry-leading professionals in a high-performing environment that values integrity, continuous development, and long-term career growth.

Keywords: head of central compliance, compliance director, regulatory compliance, investment banking compliance, financial services compliance

What's next:

Shape the future of compliance and governance within a leading global financial institution. Apply now!