Control room / Asset Management compliance, AVP

A sizeable financial services firm is looking for an AVP, Compliance to support compliance coverage across the Control Room and Asset Management functions, including regulatory compliance advisory, fund setup support, and ongoing compliance monitoring and training.

Job Description

• Advising on compliance-related matters for the control room & asset management & regulatory compliance area
• Handling compliance tasks for fund set-up and supporting control room business
• Assist in establish compliance related policies and procedures
• Conduct compliance-related training for business
• Communicate with and handle enquiries from regulators

Qualification

• Degree holder in business, accounting, law or other related discipline
• At least 5 years of working experience in the control room & asset management & regulatory compliance area
• Familiar with the relevant SFC regulations
• Previous experience working in regulatory bodies is an advantage
• Can work independently. Having experience handling regulators' inspections and enquiries will be preferred

Technical Skills / Soft Skills Requirement

• Proficiency in written and spoken Mandarin, English and Cantonese
• Good interpersonal and communication skills
• Familiar with local rules, regulations and common market practice
• Good team player