As the Deputy Head of Compliance you will assist the Group Head of Compliance (based in Hong Kong) in overseeing the Compliance Advisory Team.
This role will:
- Lead the Group Compliance Advisory team and surpervise the regulatory advisory, inquiry, inspection and investigation functions for the organization.
- Handle the internal compliance enquiries on the group's business activities, including their Type 1, 2, 3, 4, 5, 6, and 9 business regulated by SFC in Hong Kong.
- Prepare and review compliance policies/procedures and other compliance documentation and prepare reporting materials to the regulator and the board of directors or its committees