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Identify and evaluate compliance risks of the operations and business activities of Securities, and or Asset Management, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements
Partner with other Compliance and Legal teams on assessing and measuring compliance and related risks, and developing common standards and practices.
Conduct monitoring activities including desk reviews and thematic reviews wherever appropriate for compliance with regulatory requirements
Draft, revise, update and maintain Compliance policies and manuals of the business units as necessary on the ongoing basis
Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
Deliver in-house compliance training to the business unit and advice to the management
Degree holder of Laws, Finance or other related disciplines
At least 5-7 years' relevant compliance experience in Asset Management, Securities, or financial services
Good command of written and spoken English and Chinese including Putonghua
Less experienced candidates can consider Manager/Assistant Manager