Senior Manager / Associate Director, Compliance (Business Compliance)
- Hong Kong
- Permanent, Full time
- Value Partners Limited
- 12 Feb 18 2018-02-12
Value Partners is an independent, value-oriented asset management firm. Founded in Hong Kong in February 1993, Value Partners has been ranked among the top performing fund management firms in the industry. The Group was listed on the Main Board of the Stock Exchange of Hong Kong in November 2007. For details, please visit www.valuepartners-group.com.
- Assist the Chief Compliance Officer in a broad area of responsibilities in compliance
- Handle day-to-day compliance duties to ensure regulatory compliance in HK
- Handle corporate and individual license application and regulatory notification (including SFC, MPFA etc)
- Deliver compliance training to employees, including compliance orientation training for employees newly joined the Company, and routine compliance training for all the employees
- Advise on cross-border transactions and marketing activities, work closely with overseas offices compliance team to ensure regulatory compliance in overseas jurisdictions (namely Singapore, China, UK, Korea and ASEAN)
- Assist to handle and advise on cross-border regulatory matters (e.g. MiFid, FATCA etc)
- Review of fund distribution activities, including approval of marketing materials
- Conduct due diligence on service providers and handling client reporting
- Design and conduct regular compliance monitoring & surveillance procedures and checking
- Prepare regulatory reporting and internal reporting to the Group
- Handle enquiries and act as central contact point for regulators inspections and visits, internal and external audit reviews etc
- Report on a regular basis to management on any compliance issues and / or regulatory changes which may impact the company
- Tracking regulatory changes (both local and overseas) and inform the relevant business divisions on a timely basis
- Provide regulatory advice to senior management and handle enquiries from different departments on compliance matters
- Update compliance policies and procedures to adhere to new regulatory or group requirements
- Handle other tasks assigned and ad-hocs projects from compliance / regulatory perspective
- Bachelor Degree with major in Accounting, Finance or related discipline
- Minimums 8 years of experience in handling compliance matters in fund houses, relevant experience with regulatory bodies (e.g. SFC) is preferred, regional experience in monitoring Singapore and China offices is an advantage.
- Familiar with MPF regulations, SFC codes and guidelines and Securities and Futures Ordinance, knowledge and work experience related to US Investment Advisors Act is an advantage;
- Solid experience in handing enquiries from regulators, such as SFC, SEC and MPFA
- Good analytical and communication skills and able to work independently
- Self-motivated, good leadership skill and a team player
- Able to handle multiple-tasking
- Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua is a plus
Interested candidates please send your full resume with current and expected salary in MS Word format at email@example.com. Personal data will be used for recruitment purpose only.
Only shortlisted candidates will be notified.