Compliance AVP/VP - Asset Management

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • SearchAsia Hong Kong , EA Licence No: 11C4078
  • 02 Oct 17 2017-10-02

We are looking for an experienced compliance professional with strong understanding of SFC regulations to join an asset management firm.

Responsibilities:

  • Identify and manage compliance matters related to the SFC licensed asset management business in Hong Kong
  • Maintain and revise policies and procedures for the general operation of the compliance program in the company
  • Collaborate with other stakeholders (legal, audit) to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Monitor, and coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.

Qualifications and Working Experience:

  • University graduate
  • At least 5 years of compliance experience in asset management
  • Good knowledge of Hong Kong SFC licensing rules, codes, guidelines and reporting requirements.
  • Strong working knowledge of investment funds and structures
  • Strong interpersonal & communication skills with an appetite to work within an international and multicultural / multilingual group organization.