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:Lead the Hong Kong compliance function, ensuring full adherence to SFC regulations and local regulatory requirementsAct as the primary point of contact for regulators, managing inspections, filings, and ongoing engagementOversee and enhance trade surveillance across Hong Kong, Singapore, and Japan, including monitoring for market abuse and managing alerts/escalationsPartner closely with investment teams and technology to strengthen surveillance frameworks and controlsDesign and maintain robust MNPI controls, including restricted/watch lists and information barriersProvide real-time compliance advisory to front office on trading, market conduct, and regulatory mattersConduct compliance monitoring, thematic reviews, and risk assessmentsSupport regional compliance coverage and ensure consistency across jurisdictionsKey Requirements:8–14 years of compliance experience within hedge funds, asset management, or financial institutionsStrong knowledge of Hong Kong regulatory requirements (SFC)Proven experience in equity trade surveillance and market conduct complianceDeep understanding of MNPI / insider trading regulations and information barriersExperience dealing with regulators and managing inspections or inquiriesStrong communication skills with the ability to partner effectively with front office stakeholders