This role is with one of the largest asset management firms in the world. Our client is looking for an AVP to sit under their Asia Pacific Legal & Compliance team. The candidate must have at least 6 years of global or regional cross- border compliance experience. Language proficiency in Traditional Chinese will be required. The role is based in Hong Kong.
Reporting to the Regional Head of Compliance, the AVP, Regional Compliance will be responsible for:
- Preparing regulatory filings, investment-related deal documents
- Reviewing documents for regulatory exams, audits and etc.
- Reviewing marketing communications for consistency with applicable regulatory standards and provide guidance to writers and others involved.
- Staying informed of regulatory policies and rules
- Maintaining and drafting guidelines outlining regulatory requirements applicable to the product of marketing material.
- Carrying out compliance monitoring tasks
- Carrying out new client classficiation/ onboarding- collection of KYC and AML and investment suitablity documentation.
Requirements
- At least 6 years of experience in global or regional cross border compliance
- Chinese is a must
- Sound knowledge of HK and SG rules and regulations
- Open-minded, positive and energetic
If you are interested in this role, please apply below or contact me for more information.
