VP, Compliance - Regulatory
Core
Managing and administering the firm's compliance programme for Hong Kong and providing regional coverage for North Asia offices.
Role type
VP, Regulatory Compliance
Builds
Compliance programme, regulatory reporting, and audit management for asset management operations.
Domain
Financial Services / Asset Management / Regulatory Compliance
Required skills
Regulatory compliance management, Vendor onboarding, KYC/AML, Trade surveillance, Staff trading monitoring, Marketing materials review, SFC fund authorization, License maintenance, Compliance training, Audit management, Policy implementation, Regulatory reporting
Preferred skills
Bilingual English and Chinese, Asset management experience, Joint initiative coordination
Technologies
SFC systems, Trade floor monitoring tools, Audit management platforms
Responsibilities
Manage compliance programme monitoring, vendor onboarding, KYC/AML checks, trade surveillance, staff trading monitoring, marketing material reviews, SFC fund authorization, license maintenance, compliance training, internal/external audit management, regulatory enquiry handling, policy review, regulatory reporting, and AML/sanctions checking.
Seniority
VP, strategic leadership with hands-on execution
