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AVPVP, Compliance RUP

Location Hong Kong, Hong Kong
Posted 25-September-2018
AVP/VP, Compliance RUP
[Description] Responsibilities

Perform investment compliance monitoring activities including reviewing compliance exceptions and developing a proficient understanding of the investment compliance systems
Facilitate KYC/AML due diligence and surveillance during client take-on and on an ongoing basis
Conduct compliance monitoring program and prepare internal and external compliance reports for senior management, head office and regulatory bodies
Assist in the review and drafting of the company’s compliance policies
Handle licensing, staff dealing requests and maintain CPT registers
Arrange and provide compliance training to staff
Assist senior compliance manager in compliance related projects


University graduates in Finance, Accountancy, Law or other related disciplines
At least 3 years in-house compliance experience with asset management business. Hands-on experience in investment compliance is a must
Knowledge of Hong Kong regulatory regime related to mutual funds and unit trust
Detail-oriented, responsible and a team player
Fluency in both spoken and written English and Chinese
Salary details
USD 60000.00 to USD 130000.00

Awards & Accolades for MyTechLogy
Winner of
Top 100 Asia
Finalist at SiTF Awards 2014 under the category Best Social & Community Product
Finalist at HR Vendor of the Year 2015 Awards under the category Best Learning Management System
Finalist at HR Vendor of the Year 2015 Awards under the category Best Talent Management Software
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