Job Description
Key Responsibilities
- Compliance Program Management: Administer day-to-day regulatory compliance monitoring, testing, and policy implementation.
- Trade & Floor Oversight: Conduct trade surveillance and monitor trading floor activities to mitigate market misconduct, insider dealing, and conflicts of interest.
- AML & Onboarding: Oversee anti-money laundering (AML), sanctions checks, and vendor/distributor onboarding and periodic reviews.
- Fund & Product Governance: Manage compliance programs for SFC-authorised funds (or local equivalents) and review marketing materials and product documents.
- Audit & Regulatory Liaison: Manage internal/external audits, regulatory inspections, and inquiries while maintaining filing and documentation standards.
- Advisory: Guide business units on regulatory developments, licensing requirements, and group policy updates.
Qualifications & Skills
- Experience: 10 to 15 years of compliance or audit experience within financial services, focusing heavily on asset management.
- Education: University degree in finance, accounting, or law.
- Language: Strong bilingual communication skills in English and Chinese (spoken and written).
- Competencies: Highly autonomous, resourceful, and capable of working under pressure in a fast-paced environment.