Description:

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