Compliance Vice President – (Mutual Fund, Private Fund, Discretionary Account)
Harbridge Partners Limited
HK$55,000 – HK$90,000 /month
Posted on 9-Jan-23
- Compliance VP, buyside, fund, asset management
- Fund Compliance, SFC 1,4,6,9, mutual fund set-up
- Investment arm of top tier SOE investment bank.
Our client is a fund house and investment arm which belongs to a top- tier SOE Investment Bank. They are currently looking for a compliance professional who has experience in SFC type 9 compliance, in particular in mutual fund set-up and private fund compliance.
The company currently holds SFC 1,4,6,9 licenses.
- Work with the Head of Legal and Compliance on providing professional advice to business actives ion n related to SFC type 9 activities.
- Improve, maintain and update compliance policies.
- Provide necessary advice to the business, e.g. Maintain an effective Chinese wall and facilitate wall crossing;
- Provide compliance consultation and advice on Type 9 license business;
- Revise, improve and implement the Compliance Manual for the investment platform, including code of conduct, Chinese Wall, restricted/watch list procedures, conflicts of interest, suitability, product due diligence, anti-corruption & bribery, AML and asset management policies and procedures.
- Draft, review and comment internal policies related to mutual fund set up, private fund management and Separate Account management;
- Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk
- Identify regulatory or reputation risks and escalate to board level for resolution
- Perform and review the compliance monitoring program regularly;
- Take a leading role in strategic and policy issues regarding compliance and regulatory matters affecting the business in the country and/or region
- Prepare internal compliance reports required by the Head Office;
- Handle SFC license applications and notifications;
- Handle internal monitoring for preventing conflicts of interest;
- Liaise with regulators on any business-related compliance matters
- Perform ad hoc projects and other tasks as assigned
- Minimum 7 years related compliance work experience with Bachelor’s degree or above;
- With experience in Chinese financial institutions, handling Type 9 license experience is a must;
- Excellent regulatory knowledge of the financial industry, especially on Securities and Futures Ordinance;
- Strong communication skills with a good sense of teamwork;
- Strong written and spoken Chinese/ Mandarin and English.