Compliance Director
A strong Chinese asset management platform is actively looking to hire an experienced compliance professional to lead their team
Job Responsibilities:
- Responsible for internal/external compliance and regulatory matters including responding to HK/PRC regulators enquiries/circulars
- Conduct and lead thematic compliance monitoring and testing
- Analyze potential impact on regulatory trends and developments, and establish/remediate policies and procedures
- Review, advise and approve new products and business initiatives
- Review internal/external communication and marketing materials, including product advertisements, RFPs, client letters etc
- Lead internal/external regulatory audits and investigations, and follow up to rectify compliance breaches and errors
- Prepare regulatory reports and filings and support corporate secretarial matters, including drafting board minutes
Job Requirements:
- 10+ years of general and investment compliance experiences in asset management firm
- Good understanding of PRC investment rules and regulations, such as QFII / RQFII / QDII
- Strong knowledge with fund products including SFC authorized funds and MPF schemes
- Business proficiency in written and spoken English and Chinese (Cantonese and Mandarin)
