Compliance Director Compliance Director …

Morgan McKinley
in Hong Kong
Permanent, Full time
Last application, 14 Apr 21
Competitive
Morgan McKinley
in Hong Kong
Permanent, Full time
Last application, 14 Apr 21
Competitive
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)
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