Group Head of Compliance, Wealth & Asset Management (Private Equity/ETF Focused)

CGS International Securities Hong Kong Limited; Singapore; On-site; SGD 250,000 - 450,000; Full time

Job summary

CGS International Securities Hong Kong Limited is seeking a Group Head of Compliance for Wealth and Asset Management with a Private Equity/ETF focus. You will lead a global compliance program across the Private Equity, ETF, and asset management activities, oversee AML/CFT controls, client onboarding, and regulatory reporting.

The role requires at least 15 years of experience in compliance or risk management, strong regulatory knowledge, and leadership skills to influence senior management and

Qualifications

• 15+ years of relevant compliance, legal, regulatory and/or risk management experience
• Strong knowledge of AML/CFT, investor onboarding, and cross-border distribution regulations
• Proven leadership capability with strategic thinking and stakeholder management
• Experience advising on regulatory matters across multiple jurisdictions

Responsibilities

• Identify, assess and report the Group's compliance across Private Equity and ETF businesses, including fund management, distribution, fundraising, investment activities and investor relations.
• Oversee AML/CFT controls, client onboarding and ongoing monitoring processes.
• Develop, implement and maintain a robust compliance framework, policies, procedures and governance standards for Private Equity and ETF operations.
• Advise senior management on regulatory matters related to Private Equity funds, ETF products, and alternative investments.
• Support structuring and launch of Private Equity funds and ETF products with regulatory guidance.
• Monitor regulatory developments and propose actions to mitigate compliance risks.

Education

Bachelor's Degree in Law, Finance, Accounting, Business or a related discipline

Job description

Group Head of Compliance, Wealth & Asset Management (Private Equity/ETF Focused)

CGS International Securities Hong Kong Limited View all jobs

CGS International Securities Pte. Ltd. (CGS International) is an award-winning and market leading integrated financial services provider, ranked among the top securities houses in Asia.

CGS International taps on our wealth of global and ASEAN insights to offer equities trading, leveraged products, wealth management, investment banking, equities research, Shariah-compliant financing, fixed income, currency and commodities, structured products and prime brokerage services in over 15 countries and regions.

Along with its parent organisation China Galaxy Securities, a leading securities house in China, CGS International is trusted by more than 15 million customers globally.

Job Responsibilities

• Identify, assess, interpret, advise on, monitor and report the Group's compliance with applicable regulatory requirements across the Private Equity and ETF businesses, including fund management, fund distribution, capital raising, investment activities and investor relations. Oversee AML/CFT controls, client onboarding and ongoing monitoring processes.
• Provide compliance oversight for Private Equity investments, fund structures, ETF products, fund launches, distribution arrangements, institutional and accredited investor offerings, including suitability, appropriateness and cross-border regulatory requirements.
• Develop, implement and maintain a robust compliance framework, policies, procedures and governance standards covering Private Equity and ETF operations, while ensuring alignment with broader Asset and Wealth Management activities.
• Act as the subject matter expert and trusted advisor to senior management and business stakeholders on regulatory matters relating to Private Equity funds, ETF products, alternative investments, fund management and capital markets activities.
• Support the structuring and launch of Private Equity funds, ETF products and other alternative investment vehicles, providing practical regulatory and compliance guidance throughout the product lifecycle.
• Oversee regulatory compliance relating to fundraising activities, investor communications, portfolio investment transactions, fund operations and distribution channels across relevant jurisdictions.
• Monitor and assess regional and global regulatory developments impacting Private Equity, ETF, Asset Management and Capital Markets businesses, and recommend appropriate actions to mitigate compliance risks.

Job Requirements

• Bachelor's Degree in Law, Finance, Accounting, Business or a related discipline.
• Minimum 15 years of relevant compliance, legal, regulatory and/or risk management experience, with significant exposure to Private Equity, ETF, Asset Management, Capital Markets or alternative investment businesses.
• Strong understanding of laws, regulations and industry practices applicable to Private Equity funds, ETF products, fund management, capital raising, fund distribution and capital markets activities.
• Demonstrated experience advising on Private Equity investment transactions, fund structures, fund launches, ETF products and alternative investment strategies.
• Experience dealing with regulators, fund managers, senior management and business stakeholders across multiple jurisdictions.
• Strong knowledge of AML/CFT, investor onboarding, suitability requirements, accredited/institutional investor frameworks and cross-border distribution regulations.
• Legal qualification and/or prior legal experience in Private Equity, Investment Funds, ETFs, Capital Markets, Financial Services or Regulatory Advisory would be highly advantageous.
• Strong analytical, problem-solving and stakeholder management skills, with the ability to provide practical, risk-based solutions while balancing regulatory requirements and commercial objectives.
• Proven leadership capability with excellent strategic thinking, sound judgment, independence, integrity and strong written and verbal communication skills.