Role: Manage and perform day-to-day compliance works in relation to SFC Type 4 & 9 activities including:
Responsibilities:
Manage the risk and compliance function for the asset management business, play a key role in providing compliance input when setting up new investment products.
Set up of new investment fund (mainly offshore funds) by liaison with external legal counsels and internal parties;
Perform AML assessment and independence checks;
Monitor compliance risk on investment funds/projects;
Update compliance policies and procedures, enhancement of compliance control and monitoring program.
Supervise junior staff to conduct general compliance work such as licensing, staff dealing and compliance training;
Develop the corporate governance function, responsible for CRS and FATCA compliance and reporting.
Stay up to date on regulatory changes, assessing impact and advice management for any implications.
Produce compliance and risk report for management review on a regular basis.
Advise the board and COO in general compliance issues.
Experience/Skills
University graduate, 8 years or above work experience; minimum 5 years of in an asset management compliance in Hong Kong.
Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
Strong knowledge of the Hong Kong SFC rules in relation in investment and fund management, and knowledge of some similar rules in mainland China.
Experience in communicating with regulators.
Excellent command of spoken and written English and Chinese.
Interested parties please attach with your full resume with current and expected salary to admin@vmsig.com
