Compliance VP / Director - Asset Management

A financial institution is looking for a compliance professional who is familiar with SFC license types 1,4,9 compliance matters to join their team.

Job Responsibilities:

• Oversee all compliance matters, including conducting client due diligence, analysing client transactions, and serving as the primary contact with the SFC.
• Review the current compliance controls of the company, formulate and update internal policies and procedures to ensure relevant compliance standards are complied with the regulatory.
• Establish and enhance a compliance monitoring program on the Company's various activities and undertake investigations into any suspicious transactions reported by both internal and external customers.
• Handle reporting matters with the SFC and license applications for business personnel.
• Manage account opening and related due diligence issues.
• Ensure the applicable registration/licensing requirements are complied with.
• Raise and maintain compliance awareness among staff by providing them with relevant information, publications and training on compliance matters.
• Respond to inquiries from the SFC and Hong Kong Stock Exchange.
• Provide business support and participate in cross-departmental collaboration (including but not limited to assessing compliance risks for new products, investment strategies, and cross-border operations).

Qualifications:

• Degree holder in Business, Finance, Law or other related disciplines.
• At least 6 years of experience as a compliance officer for regulated activities of Type 1, 4, and 9 under the Securities and Futures Ordinance.
• Familiarity with the Securities and Futures Ordinance, SFC codes and guidelines.
• Familiarity with asset management and securities business processes; experience in private equity funds and new product development is preferred.
• Strong leadership, analytical, and problem-solving skills.
• Prudent and trustworthy.
• Team player with a proactive and responsible work attitude.