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Handling the compliance program for the company's HK, entities and activities in the PRC including but not limited to the QDLP (Shanghai and Beijing), Shanghai-HK Stock Connect, QDII, and ODI programs, and Australia. Compliance responsibilities include: maintaining regulatory compliance program for licensed/registered entities, business advisory, marketing materials review/media approvals, preparing and submitting regulatory filings/notification, distributor/partner due diligence, drafting policies, providing training, Code of Ethics application, liaising with regulators, and handling regulatory inquiries and examinations;
Responsible for entity and individual license application and updating; regulatory filings with regulators and exchanges; familiar with professional/accredited investors classification, suitability assessment and AML/CFT requirements
Keeping abreast of changes in regulatory requirements in HK, China, Australia and other Asian jurisdictions and assessing the impact on business' activities in those countries
Providing guidance internally (e.g., to investment teams, marketing and corporate) on regulatory matters compliance policies, licensing, conflicts of interest, and other regulatory topics (e.g., outsourcing, AML, record retention);
Advising the Asia Marketing and Client Relations teams on marketing permissions (local and cross border), marketing materials, program requirements (e.g., QDLP), anti-bribery/FCPA, fund registration and filings, and partnership/distribution arrangements;
Advise traders on regulatory matters relating to securities, fx and futures trading.
Working closely with members of the Compliance, Legal, Client Relations, Marketing, Accounting, Tax and other departments across the firm globally, including on global projects (e.g., privacy, cybersecurity) as necessary;
Coordinating and working with external advisers, including local counsel and compliance consultants.
3-5 years compliance experience with an asset management or investment banking firm.
Knowledge of regulatory regimes, including sales/marketing, licensing and regulatory reporting requirements is required;
Experience in dealing with the regulators is required and handling regulatory inspections