Are you a compliance professional with hands-on ETF experience? We're looking for a sharp, detail-oriented Associate to join our Compliance team, focusing on authorized funds, including ETFs and VA-related products.
Key Responsibilities
- Serve as a product compliance specialist for authorized funds, including ETFs and VA-related funds
- Provide regulatory and investment compliance advice on trading activities and fund operations
- Review and approve fund offering documents, marketing materials, and investor communications
- Conduct regular compliance monitoring reviews to ensure adherence to internal policies and regulatory standards
- Draft, update, and implement internal compliance policies and procedures
- Deliver day-to-day compliance advisory to business units across asset management functions
- Monitor and interpret regulatory developments in Hong Kong and other relevant jurisdictions
- Conduct compliance training for internal stakeholders
- Support ad hoc compliance projects and assignments as delegated by supervisors
We're Looking For
- Holds a Bachelor's degree or above in Accounting, Finance, Law, or a related discipline
- Has 3+ years of compliance experience in a fund management firm licensed for Type 9 regulated activity
- Has direct experience in mutual fund establishment; ETF and VA fund experience is a strong advantage
- Demonstrates strong knowledge of SFC regulations, especially those related to fund authorization and distribution
- Is self-motivated, detail-oriented, and capable of working independently
- Possesses excellent communication and interpersonal skills
- Is proficient in MS Office and Chinese word processing
- Is fluent in English, Cantonese, and Mandarin
Ideal Candidate Profile
This role is best suited for someone who:
- Has direct exposure to ETF product compliance
- Understands SFC regulations and fund authorization processes
- Can work independently and communicate effectively with business units
