Compliance Senior Manager recruitment

We have a diversified, balanced, and growing business. In recent years, we expand our business reach internationally and have built a small but of high caliber global client base that is composed of the world’s most sophisticated institutional investors. On their behalf, we invest directly in companies of all sizes in the Greater China region. Our decision- making process is driven by intensive, proprietary research. We provide talented staff the resources and training necessary to succeed, and the autonomy to apply their best judgment to meet the company’s and their own career objectives.

Brief description of the position:

The role will be responsible for the compliance matters of the firm and its managed funds including unit trusts and ETFs.  The role will be required to work with external lawyers, consultants and internal business specialists establishing compliance monitoring tools and resolve compliance issues accelerated in the routine business and operations activities.

In addition, the role will be engaged in analyzing regulatory rules and requirements and present to the senior management, performs investigation and reporting of any regulatory breach and interact with regulatory bodies. 

Job responsibilities:

1. Develop monitoring models for new regulatory requirements and responsible for the on-going monitoring and control.

2. Ensure all licensing and regulatory filings and reporting are performed in a timely manner.

3. Liaise with regulatory bodies to resolve compliance issues.

4. Prepare management reporting in relationship to compliance status.

5. Assist in launch of product and application of regulatory license issues.

Working history

Eight year experience in regulatory compliance monitoring. Track record in compliance monitoring for unit trusts and ETFs.

Skill and knowledge

The candidate must familiar to Securities and Finance Ordinance and the Code on Unit Trusts and Mutual Funds, Code of Conduct For Persons Licensed by the Securities and Finance Commission.

The candidate should possess:

• strong leadership and management skills grounded in experience;

• sound knowledge on the operations of the securities market, financial and investment industry;

• ability to communicate effectively and articulate complex financial transaction/situation is essential;

• excellent command of written and spoken English and Chinese(Cantonese and Putonghua), able to write both traditional and simplified Chinese;

• knowledge of regulatory requirement related to PRC investment is a merit

The candidate is expected to work by self-motivation and able to cope with a multi-cultural and multi-disciplinary environment.