Head of Compliance Surveillance - Investment Bank

CLIENT BACKGROUND
Our client is a leading financial institution in Hong Kong, committed to maintaining robust compliance and surveillance standards. They are seeking an experienced compliance professional to strengthen their monitoring and investigation capabilities.

JOB RESPONSIBILITY

• Manage SMARTS alerts and conduct in-depth investigations into potential market misconduct.
• Lead a small team (2-3 members) to perform compliance reviews and ensure regulatory adherence.
• Handle SFC investigation enquiries under 1A1 and 1A2 (including sections 181 and 182).

JOB REQUIREMENTS

• Minimum 8 years of compliance experience within the investment banking/securities industry.
• Strong knowledge of Hong Kong regulatory framework and SFC requirements.
• Proven leadership skills and ability to manage small teams.
• Excellent communication skills in English, Cantonese, and Mandarin.