HEAD OF MARKETING COMPLIANCE / DISTRIBUTION COMPLIANCE
Recruitment Intelligence Consultants Limited
Hong Kong, Hong Kong
4天前
source : EFinancialCareers Ltd
  • Asset Management Firm
  • Excellent Career Opportunity
  • Our client is an international asset management firm an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, the need has arisen to recruit a high caliber candidate to join them.

    Responsible for the day-to-day oversight of the Regional Communications review process and the execution of the internal processes and controls around the review of Regional Communications materials.

    Review communications and acts as a subject matter expert for the business units in helping to ensure they comply with legal and regulatory requirements.

    Reviews Regional Communications to be used with clients and prospects to ensure these materials meet group-wide policy and legal requirements, regional advertising and sales practice, and comply with relevant regulatory requirements.

    Analysis of potential legal impact and researches issues associated with Regional Communications materials. Designs controls and implements process improvements in coordination with and guidance from the Global office.

    Drafts internal compliance manuals and procedures to ensure consistent and legally sound practices are adhered to within each business unit.

    Trains new employees on advertising rules and internal compliance procedures. Develops and implements continuing education programs for marketing departments.

    Resolves issues raised by the business units with respect to advertising policies and comments provided on specific materials and coordinates any necessary changes with marketing personnel as appropriate.

    Monitors changes, and proposals to change, laws and regulations. Implements appropriate changes in policy to comply with changes in laws and regulations.

    Respond to inquiries from regulatory bodies regarding compliance with their sales and advertising rules as well as questions about the firm’s policies, procedures, and guidelines to ensure compliance with these rules.

    To be considered, you will be a university graduate with a minimum of 10 years of direct experience working on regional fund, or other financial services marketing / communications issues.

    Demonstrated ability to supervise staff and manage projects. Demonstrated professional in area of expertise. Ability to learn and then use and apply complex laws and regulations to a wide variety of areas.

    Ability to represent firm to regulatory bodies. Ability to build positive relationships with individuals at all levels. Detailed knowledge of regional regulatory regimes.

    Interested applicants should send a detailed resume to Michelle Ho by email to mho ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC3010 .

    Applicants not contacted within 4 weeks should consider their application unsuccessful.)

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