Vice President, Compliance, Asset Management

  • Competitive & Negotiable
  • Hong Kong
  • Permanent, Full time
  • China Industrial Securities International Financial Group Limited
  • 01 Nov 17 2017-11-01

Based in Hong Kong, China Industrial Securities International Financial Group Limited (8407.HK) plays a critical and unique role to the globalization strategy of its controlling shareholder, the Shanghai-based Industrial Securities Co., Ltd. (601377.SH).

Responsibilities

  • Provide day-to-day asset management compliance advice and guidance to the company
  • Monitor and control of the asset management business activities to ensure full compliance with all applicable regulatory requirements and internal policies
  • Review (new) business initiatives (including products, authorizations, licensing) from a local regulatory, best practice and group perspective
  • Review and oversee client on boarding process (KYC, ALM , Agreements) form a compliance perspective
  • Support the business in new business or product developments by reviewing and approving fund/product documentation
  • Identify asset management compliance and operational risks
  • Timely review, issuance, amendment and surveillance of the internal policies and procedures (Manuals, SOP’s, staff handbook etc) in accordance to the business and regulatory development and changes
  • Report and escalate internal controls and compliance weaknesses in the business, recommend corrective actions, and monitor the follow-up on the corrective actions taken
  • Conduct investigation on incidents, breaches and suspicious transaction
  • Liaise with the SFC and other regulators on all licensing, product application, reporting, disclosure and other compliance matters
  • Provide compliance training to raise compliance and risk awareness of the company
  • Oversee internal and external audits and audit findings.

 

Requirements

  • 5 years of hands-on compliance experience in asset management companies
  • Experience in authorized funds is a must
  • University graduate of finance/business/law related discipline         
  • Familiar with HK regulatory and business environment           
  • Solid project management experience
  • Fluent in English, Cantonese and Mandarin