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Our Client is a well-known international Bank with businesses expanding in corporate banking, private banking, and asset management. They have SFC Licence Type 1,4,9 regulated activities in Hong Kong. They are looking for an experienced Compliance Team Head for their Asset Management business.
Will report directly to the Hong Kong Head of Compliance and will be acting as the Manager In Charge for their Asset Management business
Provide professional compliance advisory to the business as needed and report to senior management of any issues
Main point of contact with the SEC and SFC on all regulatory issues and matters
Act as a second line of defence for all compliance monitoring matters
Update Compliance policy and procedures as needed and review marketing materials
Will have one direct report
Will have exposure to banking business as well on top of their asset management business
Bachelor degree in Finance/Risk/Legal or related discipline(s)
Minimum 10-15 years compliance experience in buyside firms
Strong knowledge in ETF Products are prefered
Must have compliance experience dealing with instititional clients