Investment Products Compliance

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