Asset Management Compliance

Key Responsibilities:

• Responsible for overseeing the compliance and providing advice on asset management business (including private and public fund)
• Review and update the firm's compliance policies and procedures to maintain compliance with SFC requirements and other relevant regulations
• Stay up-to-date on changes in rules and regulations and industry best practices, and update compliance programs accordingly
• Compile and submit periodic regulatory reports and filings
• Collaborate with other control functions, such as legal and internal audit, to ensure a comprehensive compliance framework
• Review and approve all marketing materials to ensure compliance with regulatory requirements and the firm's branding guidelines
• Evaluate investment strategies, portfolio compositions, and asset allocations for authorized funds to ensure adherence to prospectus guidelines and investment mandates (preferred experience)

• 3-10 years of relevant experience in compliance at asset management or financial industry, with knowledge on authorized funds
• Thorough understanding of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO) and other relevant laws and guidelines
• Excellent command of Chinese (Mandarin and Cantonese) and English, both written and verbal
• Excellent communication and interpersonal skills, with the ability to work collaboratively with various stakeholders
• Degree in Finance, Accounting, Law, or a relevant discipline