VP, Compliance - Regulatory
Core
Managing and administering the firm's compliance programme for Hong Kong and North Asia, covering regulatory monitoring, vendor onboarding, KYC/AML, trade surveillance, and SFC-authorised fund authorization.
Role type
Senior individual contributor regulatory compliance executive
Builds
Compliance programmes, regulatory reporting, and internal/external audit responses
Domain
Asset management / Financial services
Required skills
Regulatory compliance management, KYC/AML, trade surveillance, vendor onboarding, audit management, policy implementation, SFC fund authorization
Preferred skills
Bilingual English and Chinese, experience in asset management
Technologies
N/A
Responsibilities
Manage compliance programme monitoring and testing, conduct AML and sanctions checks, handle regulatory enquiries and filings, review marketing materials and client correspondence, coordinate regional compliance projects in North Asia, advise business on regulatory developments
Seniority
Senior, hands-on IC