Head of Compliance - Asia

Job Title: Head of Compliance – Hoxton Wealth Asia
Region Covered: Labuan (Malaysia), Vietnam, Cambodia, Hong Kong and wider Asia as applicable
Reporting To: Group Chief Compliance Officer / Regional CEO
Direct Reports: Local Compliance Officers / MLROs (where applicable)
Location: Asia (with regional travel required)

Role Purpose

The Head of Compliance – Asia is responsible for leading and overseeing the compliance framework across Hoxton Wealths Asian operations, ensuring adherence to local regulatory requirements, global group policies, and international best practice.

The role provides strategic compliance leadership across multiple jurisdictions including Labuan, Vietnam, Cambodia, and Hong Kong, ensuring the business operates within regulatory expectations while supporting commercial growth. The position acts as the key link between local regulators, regional leadership, and the Group Compliance function, embedding a strong culture of governance, conduct, and client protection.

This is a senior leadership role with responsibility for regulatory oversight, financial crime prevention, risk management, and implementation of group-wide compliance initiatives across the Asia region.

Key Responsibilities

Regulatory Oversight & Governance

• Lead the compliance function across all Hoxton Wealth Asia entities and representative offices.
• Ensure compliance with applicable local regulatory frameworks, including:
  • Labuan FSA requirements
  • Hong Kong regulatory expectations
  • Vietnam and Cambodia local licensing and advisory frameworks
• Act as the primary compliance contact for regional regulators and supervisory bodies.
• Support regulatory applications, renewals, and ongoing licensing obligations.
• Oversee regulatory reporting submissions and ensure accuracy and timeliness.

Framework Implementation & Control

• Implement and maintain the Group Compliance Framework across Asia, ensuring alignment with global policies while reflecting local regulatory nuances.
• Maintain and oversee:
  • Compliance Monitoring Programmes
  • Risk registers
  • Policy frameworks
  • Governance structures
• Ensure appropriate local procedures are in place covering advice standards, financial promotions, client onboarding, and ongoing servicing.

Financial Crime & AML Oversight

• Oversee AML/CTF controls across the region in partnership with local MLROs.
• Ensure effective implementation of:
  • Client due diligence and enhanced due diligence processes
  • Sanctions screening controls
  • Suspicious activity reporting frameworks
• Review financial crime risks relevant to cross-border advisory models and offshore product distribution.

Advice Oversight & Conduct Risk

• Ensure advisory activities meet suitability, appropriateness, and best interest standards.
• Monitor conduct risk and adviser behaviour across the region.
• Support quality assurance frameworks including case checking and file reviews.
• Identify and escalate potential mis-selling, client harm risks, or systemic advice concerns.

Consumer Protection & Client Outcomes

• Embed a client-outcomes focused culture aligned with global Consumer Duty principles.
• Oversee complaint handling frameworks across Asia.
• Ensure fair treatment of clients across all jurisdictions.

Senior Stakeholder Engagement

• Act as the regional compliance advisor to senior management.
• Provide clear regulatory guidance to business leaders on expansion, product launches, and new markets.
• Represent Asia Compliance at Group governance forums and committees.

Risk Management & MI Reporting

• Maintain oversight of regional compliance risks and emerging regulatory developments.
• Produce management information for:
  • Group Compliance
  • Regional leadership
  • Board reporting
• Identify trends, root causes, and areas requiring remediation.

Training & Culture

• Deliver and oversee compliance training across the Asia region.
• Promote a strong compliance culture and ethical standards.
• Support Fitness & Propriety standards and staff conduct expectations.

Key Skills & Experience

Essential

• Significant experience in a senior compliance role within financial services.
• Strong knowledge of regulatory environments across Asia, particularly:
  • Labuan / offshore advisory frameworks
  • Hong Kong regulatory expectations
  • Cross-border advice models
• Experience overseeing multi-jurisdiction compliance frameworks.
• Strong understanding of:
  • AML/CTF requirements
  • Suitability and advice standards
  • Conduct risk management
• Proven ability to engage with regulators and senior leadership.

Desirable

• Previous experience working in international wealth management or advisory businesses.
• Experience managing regional compliance teams.
• Knowledge of offshore investment distribution models.
• Relevant professional qualifications (e.g., ICA, CISI, legal, or compliance certifications).

Personal Attributes

• Strong leadership presence and credibility with senior stakeholders.
• Commercially aware with the ability to balance risk and business objectives.
• Highly organised and able to manage multiple jurisdictions simultaneously.
• Independent thinker with strong judgement.
• Excellent communication and influencing skills.

Key Performance Indicators (KPIs)

• Effectiveness of regional compliance framework.
• Regulatory relationship management and outcomes.
• Timely completion of regulatory reporting.
• Reduction in compliance breaches and risk events.
• Quality of governance, oversight, and documentation.
• Successful implementation of group initiatives across Asia.

Role Impact

This role is critical to ensuring Hoxton Wealth Asia operates within complex and evolving regulatory environments while maintaining the highest standards of client protection and professional conduct. The Head of Compliance – Asia provides the leadership, oversight, and structure required to support sustainable growth across multiple jurisdictions, protecting the firms reputation and ensuring consistent application of the Groups global compliance standards.