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Compliance Director

Job Seekers Hong Kong SAR China Compliance Financial Services - Asset Management

Job Summary

  • Hong Kong
  • Permanent
  • BBBH776409
  • Mar 08, 2021
  • HK$101k -120k pm
Job Description

A strong Chinese asset management platform is actively looking to hire an experienced compliance professional to lead their team

Job Responsibilities:

  • Responsible for internal/external compliance and regulatory matters including responding to HK/PRC regulators enquiries/circulars
  • Conduct and lead thematic compliance monitoring and testing
  • Analyze potential impact on regulatory trends and developments, and establish/remediate policies and procedures
  • Review, advise and approve new products and business initiatives
  • Review internal/external communication and marketing materials, including product advertisements, RFPs, client letters etc
  • Lead internal/external regulatory audits and investigations, and follow up to rectify compliance breaches and errors
  • Prepare regulatory reports and filings and support corporate secretarial matters, including drafting board minutes

Job Requirements:

  • 10+ years of general and investment compliance experiences in asset management firm
  • Good understanding of PRC investment rules and regulations, such as QFII / RQFII / QDII
  • Strong knowledge with fund products including SFC authorized funds and MPF schemes
  • Business proficiency in written and spoken English and Chinese (Cantonese and Mandarin)


Consultant Details

Consultant Details

Chanel Hui
  • Consultant | Risk & Compliance Recruitment
  • 3907 3972