Posted on: 2018-12-06

Job type: Permanent

Sector: Financial Services

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Comprehensive financial group providing a wide spectrum of financial services. They are looking for a VP in Compliance in Asset Management.

The Company:

The company is an comprehensive financial group providing a wide spectrum of financial services. They are looking for a Vice President in Compliance in Asset Management.


* Identify and evaluate compliance risks in operations and business activities of Asset Management, particularly ETF. Give regulatory advice, guidance on rules, internal policies and its latest updates on a daily basis. Ensure the business unit in compliance with the law, rules and regulations
* Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements, focusing on ETF
* Update Compliance policies and manuals of the ETF as necessary on ongoing basis
* Review and improve the compliance programs, procedures and guidelines for the respective business unit
* Manage relationship with the relevant Exchanges and Regulators, handling queries and requests


* Degree holder of Laws, Finance or other related disciplines
* At least 5-8 years of relevant compliance experience in Asset Management
* With exposure in ETF or authorized funds
* Strong level of written and spoken English and Chinese including Putonghua

To apply please click on the "Apply" button or contact Steven Sin at (852) 2919-6209 quoting ref no. HK144014 for a confidential discussion. Your interest will be treated in strict confidence.
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Reference: HK144014

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