To assist the Head of Compliance in maintaining the relationship with the Hong Kong regulator (SFC), Luxembourg Regulator (CSSF), and assisting him to establish robust compliance and corporate governance framework which will achieve the establishment of robust internal controls.
To be one of the key contact points (addressing regulator's queries) and to ensure engagement from the stakeholders.
In addition to the handling of Hong Kong authorized funds-related matters, to assist ASEAN and European marketing materials review and to assist in internal control related committees.
To liaise with business and external counsel to update product offering documents as necessary
To assist the compliance team maintain and continuously update a register of upcoming or effective regulation in Hong Kong, US, Australia and Europe. For marketing materials, to keep the internal stakeholders aware of the ASEAN and European Union marketing regulations.
Review and update internal policies, manuals, guidelines, and handbooks as necessary in accordance with the relevant regulatory rules and regulations.
Establish, implement and enforce relevant internal policies and procedures by the respective officers and employees in accordance with applicable external legal, regulatory, codes, policy, and procedural requirements.
Conduct training and prepare educational materials for colleagues to ensure they are up to date with market knowledge and requirements
Assist in conducting compliance review on firm-level and give advice to the management
Handle ad hoc compliance matters as may be assigned by the Head of Compliance.
5 years' experience in funds practices, Investment Product team or in-house compliance or compliance assurance experience in asset management will be an advantage