Head of Compliance

Job title: Head of Compliance

Company: AlloyX Hong Kong


Job description: Key roles and responsibilities:

• Regulatory Compliance: Ensure the organization complies with all applicable laws, regulations, and industry standards. Monitor changes in legislation and assess their impact on the business.
• Risk Management: Identify potential legal risks and develop strategies to mitigate them. Conduct risk assessments and ensure appropriate controls are in place.
• Policy Development: Develop and implement compliance policies and procedures to promote ethical behavior. Ensure policies are effectively communicated and understood by all employees.
• Governance – Monitoring and Re-assurance: Oversee compliance monitoring activities to ensure adherence to internal and external regulations. Conduct internal audits to assess the effectiveness of compliance programs.
• Reporting and Documentation: Maintain accurate records of compliance activities and legal matters. Prepare regular reports for the executive team and the board on compliance status.
• Liaison with Regulatory Authorities: Serve as the primary contact with regulatory bodies and ensure timely responses to inquiries. Manage any investigations or audits conducted by regulatory authorities.

Qualifications:

• Education: Bachelor’s degree in Law, Finance, or a related field; Master’s degree or relevant certifications (e.g., CAMS, CCEP) preferred.
• Experience: Minimum of 8 years in compliance or risk management, with at least 3 years in a leadership role.
• Knowledge: Strong understanding of regulatory compliance laws and risk assessment methodologies.
• Skills: Excellent analytical, communication, and policy development skills.
• Personal Attributes: High ethical standards, attention to detail, and proactive problem-solving abilities.

Expected salary:

Location: Hong Kong

Job date: Sat, 11 Jan 2025 08:05:14 GMT

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