# Head of Compliance

**Company**: Lombard Odier
**Location**: Hong Kong
**Experience**: senior
**Job type**: full-time
**Category**: Finance
**Industry**: Finance

**Apply**: https://lombardodier.wd3.myworkdayjobs.com/en-US/Lombard_Odier_Careers/job/Hong-Kong/Head-of-Compliance--Hong-Kong_R0007567?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_4e69f2e7-cb8

## Description

A career at Lombard Odier means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing.

As Head of Compliance, you will support the effective implementation and oversight of compliance programs, policies, and controls, and serve as a key point of contact for business stakeholders, risk functions, and regional and group compliance partners.

**Key Responsibilities:**

- Monitor local regulatory developments and advise senior management on resulting impacts or compliance needs.

- Ensure timely, complete, and accurate reporting to senior management and regulatory authorities, and support audit and risk control functions.

- Advise and support the business on Compliance risk and mitigation, including staff training and contribution to broader compliance training programs.

- Implement and update internal policies and procedures in line with local and group requirements.

- Manage compliance risks to ensure effective identification, control, and reporting.

- Ensure adherence to group and local policies with regards to the acceptance and oversight of clients, products, and services.

- Investigate actual or potential breaches of law, regulation, policy, and procedures and escalate accordingly.

**Financial Crime Compliance (FCC) Program:**

- Ensure adherence to Group and Local policies with regards to the FCC program.

- Act as Money Laundering Responsible Officer (MLRO) for HK.

**Requirements:**

- A university degree or equivalent with strong academic credentials.

- Prior Compliance experience in a Private Bank.

- Prior working experience with regulators (HKSFC, HKMA) preferred.

- Prior experience in dealing with regulators and auditors in relation to audits and inspections.

- Understanding of the laws, rules, regulations, and industry best practices.

- Knowledge of financial markets and products.

- Meticulous and analytical, able to think strategically on issues and propose potential resolutions proactively.

- Have sound judgement in escalation and risk handling.

## Skills

### Required
- Compliance
- Risk Management
- Regulatory Affairs
- Financial Markets
- Financial Products

### Nice to have
- Experience with regulators (HKSFC, HKMA)
- Audits and inspections

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