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Asset Management Compliance, AVP - VP



Job Description

about the company.

Our client is an expanding asset management firm with strong presence in the region.
about the job.
  • Identify and evaluate compliance risks of the operations and business activities of Asset Management, especially ETF, provide day to day regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business unit in compliance with the law, rules and regulations
  • Review business processes and new initiatives put forward by the business units to ensure compliance with regulatory requirements, focusing on ETF
  • Draft, revise, update and maintain Compliance policies and manuals of the ETF as necessary on ongoing basis
  • Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit
  • Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
skills & experiences required.
  • Degree holder of Laws, Finance or other related disciplines
  • At least 5-8 years of relevant compliance experience in Asset Management
  • With exposure in ETF or authorized funds
  • Good command of written and spoken English and Chinese including Putonghua

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421 or email: [email redacted, apply via Jobable]

Employment TypeFull-time
Education LevelNone
LanguageEnglish, Cantonese, Mandarin (Putonghua)
RandstadHuman Resources and Recruitment

50 Connaught Road Central, 5th Floor, Agricultural Bank of China Tower

directions_walk8 mins walk from Central Station