Compliance, Senior Manager (Asset Management / ETF)

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • Connexe Search Limited
  • 20 Sep 16

Our client is an established asset management firm with offices in countries across the globe. They have strong brand recognition and an excellent team of international staff. We are currently looking to add a Senior Compliance Manager to the team in Hong Kong and are looking for someone with good compliance knowledge related to funds products, and in particular ETF knowledge would be an asset. There is an excellent career path to advance with the firm as it continues to grow.

Job Responsibilities:

·         Report directly to the Head of Compliance and act in the Deputy Head capacity if needed.

·         Responsible for compliance matters related to product such as ETF, SICAV funds, Unit Trust and Hedge Funds.

·         Work with other business departments for new fund launch.

·         Advise on compliance regulations and policies during the fund launch process.

·         Address Regulator inquiries regarding fund products.

·         Ensure fund product documentation is up to date (i.e. for new products, change of regulations, etc.)

·         Ensure policies and guidelines are kept up to date.

·         Ensure employees and officers of the firm are adhering to regulatory policies.

·         Conduct regular firm compliance review and staff training and advise management on any compliance issues.

·         Supervise and mentor junior team members.

·         Ad-hoc duties as needed by the team.

Job Requirements:

·         Degree holder in Finance / Business Administration / Commerce / Law or related subjects

·         Professional qualifications or certifications an advantage

·         6-8+ years of experience in compliance related function

·         Strong team player with excellent interpersonal skills

·         Good knowledge of industry practices and regulations

To Apply:

Interested applicants please send CV to quoting job reference #N556. Only shortlisted and qualified candidates will be contacted.