Asset Management Compliance, VP

A leading Chinese financial institution is seeking a high-calibre Vice President, Compliance to serve as a product compliance specialist for their asset management business.

Key Responsibilities

• Lead product compliance advisory for asset management activities, focusing on SFC-authorized funds, ETFs, and Virtual Asset related fund structures

• Review fund documents and marketing materials for regulatory alignment

• Able to manage and provide compliance advice on trading, investment and regulatory compliance-related assignments and issues

• Conduct regular compliance monitoring reviews

• Able to draft and review internal policies and 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

Key Requirements

• Bachelor's degree or above in accounting, finance, law, or any related discipline

• 5 years of compliance experience in fund management business from a company with a Type 9 activity license

• Hands-on experience with mutual fund establishment. Direct experience with ETFs and/or Virtual Asset (VA) funds is a strong advantage

• Self-motivated, commercially minded, and capable of working independently with strong interpersonal skills

• Fluency in written and spoken English and Chinese