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asset management compliance, avp/vp.

job details

summary

    job details

    about the company

    Our client is a leading Chinese asset manager in APAC, with SFC Type 1 4 9 license



    about the team

    • A team of 6 in Compliance Department

    about the job

    • Acts as the Deputy Head of Compliance. Lead team to perform compliance functions
    • Establish and modify AML/regulatory compliance framework
    • Primary contact point with regulators (SFC and HKEx) on enquiries, questionnaires, inspection etc
    • Review and approve fund distribution activities and marketing materials
    • Advise business on new initiatives, business operations and other compliance matters

    skills & experiences required

    • University Degree in Law, Accounting, Finance or relevant disciplines
    • At least 7 years compliance experience in asset management firms
    • Solid experience in SFC Type 1 4 9 licenses. Experience is setting up/modifying policies and procedures would be an advantage
    • Experience in people management would be an advantage
    • Fluent in spoken and written English and Chinese

    To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk

    about the company

    Our client is a leading Chinese asset manager in APAC, with SFC Type 1 4 9 license



    about the team

    • A team of 6 in Compliance Department

    about the job

    • Acts as the Deputy Head of Compliance. Lead team to perform compliance functions
    • Establish and modify AML/regulatory compliance framework
    • Primary contact point with regulators (SFC and HKEx) on enquiries, questionnaires, inspection etc
    • Review and approve fund distribution activities and marketing materials
    • Advise business on new initiatives, business operations and other compliance matters

    skills & experiences required

    • University Degree in Law, Accounting, Finance or relevant disciplines
    • At least 7 years compliance experience in asset management firms
    • Solid experience in SFC Type 1 4 9 licenses. Experience is setting up/modifying policies and procedures would be an advantage
    • Experience in people management would be an advantage
    • Fluent in spoken and written English and Chinese

    To apply online, please click on the link. Alternatively, for a confidential discussion please contact Joanne Lo on + 852 2232 3421 or email: joanne.lo@randstad.com.hk