Head of Compliance

Role Introduction

• Programme Management: Develop, implement, and manage the group’s compliance programme, ensuring adherence to legal standards and internal policies.
• Policy Development: Create, review, and update compliance-related policies and procedures to reflect current laws and regulations and upcoming regulatory changes.
• Training and Education: Design and conduct training programmes, create and maintain guidance and other educational material to promote compliance awareness and understanding throughout the organisation.
• Risk Assessment: Identify and assess areas of compliance risk, and develop strategies to mitigate or remediate these risks.
• Monitoring: Oversee compliance reviews and monitoring activities to ensure adherence to policies and procedures, and to identify potential areas of improvement. Plan and implement programme enhancements and/or areas of focus as needed.
• Investigations: Oversee internal and external investigations and enquiries in relation to compliance breaches or concerns, and advise on appropriate corrective actions.
• Regulatory Liaison: Act as the primary point of contact with relevant authorities.
• Reporting: Oversee record-keeping and reporting on compliance activities, findings, and recommendations.
• General Advisory: Provide pragmatic compliance advice to business units across the group, based on an understanding of the business and relevant commercial and business objectives, using internal and external legal advisers as appropriate.
• Team Leadership: Manage and mentor the compliance team, fostering a culture of integrity and continuous improvement. Support the Group General Counsel generally across all other areas, as-needed, to champion a compliance culture.

Key Responsibilities

• Programme Management: Develop, implement, and manage the group’s compliance programme, ensuring adherence to legal standards and internal policies
• Policy Development: Create, review, and update compliance-related policies and procedures to reflect current laws and regulations and upcoming regulatory changes
• Training and Education: Design and conduct training programmes, create and maintain guidance and other educational material to promote compliance awareness and understanding throughout the organisation
• Risk Assessment: Identify and assess areas of compliance risk, and develop strategies to mitigate or remediate these risks
• Monitoring: Oversee compliance reviews and monitoring activities to ensure adherence to policies and procedures, and to identify potential areas of improvement. Plan and implement programme enhancements and/or areas of focus as needed
• Investigations: Oversee internal and external investigations and enquiries in relation to compliance breaches or concerns, and advise on appropriate corrective actions
• Regulatory Liaison: Act as the primary point of contact with relevant authorities
• Reporting: Oversee record-keeping and reporting on compliance activities, findings, and recommendations
• General Advisory: Provide pragmatic compliance advice to business units across the group, based on an understanding of the business and relevant commercial and business objectives, using internal and external legal advisers as appropriate
• Team Leadership: Manage and mentor the compliance team, fostering a culture of integrity and continuous improvement. Support the Group General Counsel generally across all other areas, as-needed, to champion a compliance culture

Requirements

• Preference of 15 years of post-qualification experience as a qualified lawyer in Hong Kong or other internationally recognised jurisdictions, with at least 8 years’ experience specialising in compliance (with programme management experience) in multinational organisations
• Technically strong and able to provide independent legal advice to the business on a diverse range of legal and regulatory compliance matters
• Strong analytical skills, with flexibility and adaptability to changes. Able to work independently and solve problems with minimum supervision
• An effective communicator. Able to interact with senior management with strong interpersonal skills
• Strong leadership skills and a good team player able to work proactively. Detail-minded with strong planning and organisational skills
• Mature and well organised, with a high sense of responsibility and accountability
• Good command of spoken and written English and Chinese (Cantonese). Knowledge of Mandarin is a plus

Personal & Application Information