3 дня назад
VP, Regulatory Compliance
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
VP, Regulatory Compliance (Financial Services): Managing Hong Kong’s regulatory compliance programme and providing periodic compliance coverage for North Asian offices with an accent on asset management regulations, AML/KYC, licensing, trade surveillance, and regulatory reviews. Focus on monitoring and testing controls, reviewing marketing and product materials, administering SFC-authorised funds, and coordinating regulatory enquiries, audits, and policy implementation.
Location: Hong Kong
Company
is an active fixed-income investment manager serving public and private markets through traditional and nontraditional financing and investment solutions.
What you will do
- Manage and administer the compliance programme for Hong Kong and provide regional coordination for North Asia compliance projects.
- Monitor and test compliance controls against local regulations, industry best practices, and internal policies.
- Oversee KYC/AML and sanctions checks, trade surveillance, staff trading, conflicts, insider dealing, and market misconduct controls.
- Review marketing materials, product documents, client correspondence, policies, and regulatory implementation requirements.
- Manage licensing, SFC-authorised fund administration, audits, regulatory reviews, filings, notifications, and regulatory enquiries.
- Advise business teams on regulatory developments and help design and enhance the compliance programme.
Requirements
- 10–15 years of experience in compliance and/or audit within financial services, primarily asset management.
- Degree in finance, accounting, or law.
- Strong communication skills; bilingual English and Chinese spoken and written skills are preferred.
- Ability to work autonomously, take initiative, and manage pressure, organization, and time effectively.
Culture & Benefits
- High-performance and inclusive culture centered on collaboration, openness, responsibility, and excellence.
- Work supporting a global active fixed-income investment manager with regional exposure across North Asia.
- Equal employment opportunity and reasonable accommodation are provided in accordance with applicable laws.
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