Vice President / Manager, Compliance (Asset Management)
Mandurah Consultancy
Central & Western District, Hong Kong

Description :

Our client is a sizable and listed financial institution with HQs based in China. They provide a full range of financial services in Hong Kong and is licensed by SFC for activities of Type 1, 2, 4, 5, 6 & 9.

  • Report to Group Head of Compliance and manage all compliance issues for the sector of Asset Management
  • Liaise with HKEX, SFC and relevant regulatory bodies for queries and requests
  • Identify and evaluate compliance risks of the operations and business activities as well as provide professional advice to the BUs to ensure all activities / processes are in compliance with regulations and internal policies
  • Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments
  • Review compliance policies, procedures and manuals for the BUs with effective measurements for internal control purpose
  • Undertake ad hoc assignments or projects as required
  • Requirement : :

  • Bachelor Degree or above in Laws, Accounting or related discipline
  • 5+ years solid experience in compliance for Asset Management sectors with strong knowledge on Mutual Fund
  • Able to work independently, diplomatic, presentable
  • Fluent in both written and spoken English and Chinese (including Mandarin)
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