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AVP Compliance - Asset Management

Location Hong Kong, Hong Kong
Posted 27-May-2019
Description
AVP Compliance - Asset Management
[Description] Responsibility:

- overseeing general compliance matters including licensing, PAD, and compliance manual modifications

- regulatory compliance liaising directly with the SFC and MPFA regulators and ensuring prompt response to all regulatory inquiries and reporting

- real-time business advisory on matters relating to regulated activity

- investment breach oversight and reporting

- marketing material review

- other ad hoc duties as required

Requirment:

- 5+ years of compliance experience, the majority of which would be within an SFC regulated asset management company

- strong understanding of the SFC and MPFA's regulatory requirements

- fluent in English language and ability to read and write in Chinese; spoken Cantonese and Mandarin also would be helpful
Salary details
USD 40000.00

 
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Finalist at SiTF Awards 2014 under the category Best Social & Community Product
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Finalist at HR Vendor of the Year 2015 Awards under the category Best Talent Management Software
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