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Head of Asset Management Hong Kong Compliance


2020-09-08 07:01:03

Job location Hong Kong, Hong Kong, Hong Kong

Job type: fulltime

Job industry: Banking & Financial Services

Job description

We're looking for a candidate to fill this position in an exciting company.

  • We are a department that values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards.
  • Opportunity to lead the Asset Management ('AM') Hong Kong ('HK') Compliance team in providing compliance coverage to the Function in Hong Kong whose business scope will include but is not limited to the jurisdictions of Hong Kong, China, Taiwan and South Korea
  • Coordinating with the AM Global and Regional Compliance Heads in formulating and customizing the AM Compliance Strategy and Program to meet the requirements of the Business in the Asia-Pacific region ('APAC')
  • Leading and supervising the team by providing compliance advisory and support on investment management, marketing, distribution, cross border, regulatory and other activities pertinent to the AM Business in APAC
  • Responsible for critically accessing, challenging and communicating compliance advice on new business initiatives, policies and procedures and internal controls and also work together with AM Business on commercially viable solutions in addressing the issues
  • Developing the annual compliance training plan that includes succinct training materials to aid the Business in understanding key issues and required processes and procedures to be aligned with the compliance
  • Anticipating and preparing AM Business for regulatory developments and also supervise the appropriate read across regulatory findings, reprimands, notices and guidelines by the regulators where appropriate
  • Seek to understand the organizational structure and behavior in order to successfully navigate and implement strategic enhancements and operational improvements
  • Executing the AM Compliance Program further to providing entity level and individual licensing advice, monitoring, surveillance and testing, regulatory reporting and filing, analyzing and implementing projects and other general 2nd line of defense function activities
  • Act as the contact point for the regulators and internal audit teams
  • Provide high level oversight and communications with China JV partners
  • Understand the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.
  • Minimum 10 years of AM Compliance experience including that of regulatory interactions
  • At least a degree level education; Business and/or Law qualification is preferred but not mandatory
  • Extensive knowledge of private funds, traditional funds, discretionary investment management services, cross-border distribution, AM trading rules and/or other asset management topics
  • Ability to think independently, identify relevant information and exercise good judgment based on a regional and global approach
  • Outstanding project management and organizational skills and can prioritize effectively
  • Outstanding ability to work under pressure without compromising quality
  • Outstanding interpersonal, presentation and communication skills to assist with the team's success
  • Result oriented, dedicated, hardworking and can work on

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