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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 email@example.com.