Associate- VP, Compliance (Asset Management & ETF Fund Focus)

某券商招募资管 compliance ，Associate- VP， 最好有ETF经验，感兴趣请联系Katherine ***微信号：Katherine_Shiu，欢迎转发自荐

Associate- VP, Compliance (Asset Management & ETF Fund Focus)

Job Responsibilities:

• • Act as a specialist in product compliance to discharge compliance functions related to asset management in particular to authorized funds including ETF and Virtual Assets related funds
  • Able to manage and provide compliance advice on trading, investment and regulatory compliance related assignment and issues
  • Review fund documents and marketing materials
  • Conduct regular compliance monitoring review
  • Able to draft and review internal policies and to provide day-to-day advisory support regarding adherence on the same;
  • Provide compliance advice and support to business units
  • Keep abreast of any regulatory updates in relevant jurisdictions and provide proper compliance training to relevant business units
  • Any ad hoc duties as and when delegated by the supervisors

Job Requirements:

• • Bachelor or above in accounting, finance, legal or any related discipline
  • 3 years of compliance experience in fund management business from company with type 9 activity license
  • Have mutual funds establishment experiences. Experience in ETF&VA funds is added advantage
  • Good communication and interpersonal skill
  • Self-motivated and able to work independently
  • Well versed in MS Office applications and Chinese word processing
  • Proficient in spoken and written English and Chinese (Mandarin and Cantonese)