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)
Asset Management, Compliance, Compliance/Legal, Compliance Regulatory, Other
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