Compliance VP (Asset Management)

Responsibilities:

• Evaluate organizational policies and procedures to ensure alignment with regulatory requirements.
• Conduct comprehensive risk assessments for new business initiatives, products, processes, and systems from a compliance standpoint.
• Carry out periodic and ad-hoc self-assessments, gap analyses, surveys, and independent reviews against internal and/or external compliance standards.
• Generate routine (monthly/quarterly/annual) and on-demand compliance reports for senior leadership.
• Provide subject matter expertise and guidance to business units on compliance and internal control matters; deliver targeted training sessions to promote a strong compliance culture.
• Review internal monitoring activities and reports, and offer mentorship to junior team members.​

Requirements:

• Authorized fund experience is a must.
• Possess a Bachelor's degree or higher qualification.
• Minimum of 6 years of work experience in the compliance field within the financial services industry, with a preference for experience in asset management.
• Strong knowledge of investment products, as well as expertise in AML compliance, is advantageous.
• Demonstrated analytical, interpersonal, and project management skills.
• Proficient in both written and spoken English and Chinese.
• Familiarity with regulatory requirements from the SFC and MPFA.