Key responsibilities:
- Providing guidance on rules and regulations relating to investment products which include PE/VC/Hedge Funds, Fixed Income, Structured Product and Derivatives.
- Assisting with regulatory inquiries, surveys and/or examinations.
- Collaborating with other internal departments including: Legal, Risk, Operations and IT to address, monitor and mitigate any potential compliance risks.
- Supporting the product department in performing timely compliance reviews of new products.
- Assisting in the development and administration of Compliance training for the supported function/business/product.
- Regular reporting to the Head of Compliance and other senior management members on identified compliance risks.
- Additional duties as assigned.
Qualifications:
- Strong knowledge of HKSFC rules and regulations, in particular FMCC and other relevant codes and guidelines.
- Minimum of 8 years in compliance experience
- Bachelor degree holder or relevant professional qualification
- Exceptional verbal and written communication skills
- Knowledge of Singapore MAS investment products regulations is preferred
- Language: English, Cantonese and Mandarin