A Global Consultancy is currently expanding their Compliance Consulting practice with a significant Director hire in their Hong Kong office. This person will manage and grow a client portfolio primarily within the Asset Management industry, as well as a team of consultants with their own portfolios. The Director will take the lead on SEC and SFC compliance matters. This practice works extensively with start ups and also offers ongoing support to more established firms.
The main responsibilities include (but will not be limited to):
- Preparing compliance and operational policies and procedures
- Setting up the regulatory and governance infrastructure and assisting ongoing monitoring
- Undertaking periodic monitoring reviews at client premises
- Reporting on findings and providing recommendations for procedural improvements to meet regulatory and best practice requirements
- Managing regulatory filing and reporting schedules
- Providing ad hoc regulatory advice and creative solutions
- Updating clients on regulatory change
- Networking and relationship building with industry professionals and industry bodies
- Business development with potential clients
The ideal candidate will have proven compliance experience with a regulator, regulated firm or consultancy practice, as well as a detailed understanding of SFC and SEC rules and regulations and the alternative asset management industry. Only English is a necessity although Mandarin or Cantonese would be advantageous.