AVP/VP, Compliance

  • 500k – 1 million
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Aim Higher
  • 19 Jun 18 2018-06-19

1. Established asset management firm 2. Reputable player in market 3. Competitive salary

Company Description

A well-regarded asset management company is looking for an AVP/VP to join their compliance department 


  • Perform investment compliance monitoring activities including reviewing compliance exceptions and developing a proficient understanding of the investment compliance systems
  • Facilitate KYC/AML due diligence and surveillance during client take-on and on an ongoing basis
  • Conduct compliance monitoring program and prepare internal and external compliance reports for senior management, head office and regulatory bodies
  • Assist in the review and drafting of the company’s compliance policies
  • Handle licensing, staff dealing requests and maintain CPT registers
  • Arrange and provide compliance training to staff
  • Assist senior compliance manager in compliance related projects


  • University graduates in Finance, Accountancy, Law or other related disciplines
    At least 3 years in-house compliance experience with asset management business. Hands-on experience in investment compliance is a must
  • Knowledge of Hong Kong regulatory regime related to mutual funds and unit trust
  • Detail-oriented, responsible and a team player
  • Fluency in both spoken and written English and Chinese

Interested parties please send your updated resume in WORD format with current and expected salaries (quoting Employer Ref:) to banking@aimHigher.com