Green Lake Executive Search Co. Limited
Hong Kong, Hong Kong
(on-site)
Posted
8 days ago
Job Function
Asset/Property Management
Description
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:
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- 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:
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- 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)
Job ID: 80785720
