Head of Compliance, Hong Kong

A career at Lombard Odier means working for a renowned global wealth and asset manager, with a strong focus on sustainable investing. An innovative bank of choice for private and institutional clients, our independently owned Firm is one of the best-capitalised banking groups in the world, managing close to CHF 300 billion and operating from over 25 offices across 4 continents.
 

With a history spanning over 230 years, Lombard Odier is an investment house providing a comprehensive offering of discretionary and advisory portfolio management, wealth services and custody. We also offer asset management services and investment strategies through Lombard Odier Investment Managers and provide advanced banking technology to other financial institutions.
 

“Rethink Everything” is our philosophy – it is at the heart of everything we do. We have grown stronger through more than 40 financial crises by rethinking the world around us to provide a fresh investment perspective for our clients.

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 partner.

YOUR ROLE

Lead the development and execution of the compliance program

• 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.

Assist with execution of the 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

YOUR PROFILE

• 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 practice
• 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.

Our Maison’s DNA is defined by five core values. Excellence drives us to be the best at what we do, while Innovation fuels our progress. Respect underpins every interaction, and Integrity shapes our actions. Together, we are One Team, united in serving our clients with unwavering dedication.

As a responsible and supportive employer, we promote a diverse and inclusive work environment for our employees and candidates. Diversity, Equity and Inclusion are woven into the fabric of our Maison’s DNA, and we strive to ensure that our employees can fulfill both their personal and professional aspirations by encouraging internal mobility and individual upskilling programs. We firmly believe that building Diverse Teams contributes to our successes and to deliver on this, we actively embed Diversity, Equity and Inclusion in our business strategy.

It is an exciting time to join our Teams. All applications will be handled in the strictest confidence.