Vice President, Compliance
- Hong Kong
- CDI, Plein-temps
- ALS Recruit , Numéro de Licence EA : 16S8075
- 11 déc. 17 2017-12-11
Our client is the global investment management arm of one of the world's major financial services groups serving more than 100 markets. They are seeking a Compliance Manager for the region and the position is based in Hong Kong.
- Ensure the Company and its licensed representatives’ compliance with the registration and licensing requirements;
- Prepare and submit regulatory filings to the local regulator and where applicable, regulatory notification and filing in
- other relevant overseas jurisdictions;
- Keep abreast of the regulatory developments, interpret and provide advice on policies, regulatory requirements and
- impact, and control related processes;
- Advice on AML-KYC/suitability requirements to ensure adherence with regulations and corporate policies
- Review periodic compliance reports from delegates (within the Asset Management group and based
- overseas) performing the investment management function on client mandates sourced in the region;
- Review and perform clearance of regional and local marketing materials according to corporate and local regulatory
- Assist to carry out Compliance Risk Assessment and Monitoring Review for both businesses
- Minimum 7 years of work experience in compliance/ legal/ audit/ risk function gained from international financial institutions. Ideally, 5 years of compliance experience with an asset management/ wealth management company
- Solid understanding of the rules and regulations in Hong Kong
- Knowledge and good awareness of the rules and regulations in China, Singapore, Taiwan and Korea will be an advantage.
- Proven ability to work as an effective partner with the business while retaining objectivity, independence of thought and decision-making.
- Demonstrated problem solving and analytical ability, and strong communication skills.
- Good command of written and spoken English, ability to read and understand Chinese is necessary
To apply, please email your resume to firstname.lastname@example.org.