Head of Compliance

We are working with a leading global investment firm to appoint a Head of Compliance in Hong Kong. This is a senior, high-impact role responsible for leading the Hong Kong compliance function while overseeing regional trade surveillance across APAC.

The role offers strong front-office interaction, with a particular focus on equity trading compliance, MNPI controls, and regulatory engagement, supporting a growing investment platform in the region.

Key Responsibilities:

1. Lead the Hong Kong compliance function, ensuring full adherence to SFC regulations and local regulatory requirements
2. Act as the primary point of contact for regulators, managing inspections, filings, and ongoing engagement
3. Oversee and enhance trade surveillance across Hong Kong, Singapore, and Japan, including monitoring for market abuse and managing alerts/escalations
4. Partner closely with investment teams and technology to strengthen surveillance frameworks and controls
5. Design and maintain robust MNPI controls, including restricted/watch lists and information barriers
6. Provide real-time compliance advisory to front office on trading, market conduct, and regulatory matters
7. Conduct compliance monitoring, thematic reviews, and risk assessments
8. Support regional compliance coverage and ensure consistency across jurisdictions

Key Requirements:

1. 8–14 years of compliance experience within hedge funds, asset management, or financial institutions
2. Strong knowledge of Hong Kong regulatory requirements (SFC)
3. Proven experience in equity trade surveillance and market conduct compliance
4. Deep understanding of MNPI / insider trading regulations and information barriers
5. Experience dealing with regulators and managing inspections or inquiries
6. Strong communication skills with the ability to partner effectively with front office stakeholders