Vice President, Compliance

  • Attractive
  • 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
  • standards;
  • 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