Asset Management compliance, VP

This pivotal role will be the primary liaison with regulatory authorities and will serve as the subject matter expert for key compliance functions. Reporting directly to the Regional Head of Compliance, you will play a crucial role in safeguarding the organization’s integrity and supporting their business objectives across the region.

Key Responsibilities:

• Provide support on compliance, anti-money laundering, and governance matters across the organization and its affiliates.
• Advise business units on local compliance risks, policies, and procedures.
• Lead compliance training initiatives for local teams.
• Collaborate with senior compliance leadership to identify and address significant regulatory risks; develop, review, and update relevant policies and business practices.
• Monitor and analyze regulatory developments, assessing their impact on business activities.
• Participate in ongoing compliance monitoring and testing, including marketing material review, fund marketing, due diligence, RFP responses, and client onboarding.
• Lead special compliance projects and risk assessments; develop and implement compliance monitoring programs.
• Prepare reports and presentations for senior management.
• Work closely with risk, governance, distribution, and legal teams to recommend and implement regulatory risk mitigation strategies.
• Coordinate regulatory examinations and responses to inquiries, with support from global compliance leadership.
• Act as the main point of contact between the company and regulatory bodies.

Requirements:

• Bachelor’s degree in business, law, or a related field.
• Minimum 10 years’ experience in a compliance role within a regulated financial institution or law firm, preferably with exposure to asset management.
• Demonstrated experience engaging with regulatory authorities.
• Knowledge of digital assets is a strong advantage.
• Solid investment knowledge and familiarity with regulatory frameworks in Hong Kong and China.
• Exceptional communication skills, with the ability to influence and engage stakeholders at all levels.
• Strong analytical and problem-solving abilities; able to deliver practical solutions under tight deadlines.
• Highly organized, self-motivated, and able to work both independently and as part of a team.
• Role seniority will be commensurate with relevant experience and expertise.