This leading asset manager in the region is seeking an Assistant Vice President (AVP) within its compliance program team to report directly to the VP of Asia ex-Japan compliance team, based in Hong Kong.
Key responsibilities include:
- Reviewing and researching applicability of new rules and regulations, both locally and globally that may impact the business.
- Assisting in educating compliance and business personal on applicable compliance-related rules and regulations, including securities and futures ordinance in Hong Kong, securities and futures act in Singapore, QFII and RQFII related regulations in China, financial investment services and other regulatory requirements for investment advisers, mutual funds, exchange traded funds, and other financial products.
- Monitoring, tracking, and working with the business to resolve compliance issues.
- Assisting in the preparation of various regulatory filings and reporting.
- Assisting in the implementation and oversight controls of privacy compliance, ethics compliance and AML related matters.
- Conducting compliance monitoring activities.
- Providing support to execution and continuous enhancement of our compliance oversight programs.
- Assisting in the coordination, preparation, and filing of annual and periodic compliance program reports/reviews to satisfy client, regulator, and internal management requirements.
- Assisting and coordinating regional and global compliance projects from the initiation and planning stages through to execution and completion.
- Implementing, and administering compliance policies and procedures.
Qualifications and experience required:
- A Bachelor's degree or equivalent.
- Juris Doctor degree is a plus.
- 5-7 years of experience in the financial services industry.
- 5+ years of legal or compliance experience with Hong Kong rules and regulations. Knowledge of China, Singapore, South Korea and USA rules and regulations a plus.
- Strong communication and interpersonal skills.
- Strong abilities in analytical thinking, problem solving, research, and time management.
- Excellent attention to detail required.
- Ability to manage multiple simultaneous tasks in a high-pressure, deadline-driven environment.
- Ability to work both independently and collaboratively.
- Team player.
- Good excel and powerpoint skills.
- Competent level of spoken Mandarin and reading/writing simplified Chinese.
