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Managing Director, Compliance & Internal Control - Asset Management firm in Hong Kong
Cornerstone Global PartnersHong Kong16 days ago
Job descriptionMinimum of 8 years of relevantpliance experience in asset management (public and private funds, managed accounts) Knowledge in existing rules and regulations of licensed for Type 1, 4, 9 Knowledge with Bloomberg AIM (trading rule coding) is a must, MS Office applications and Chinese word processing Fluent spoken English and Mandarin
M Posted byRecruiterWe seek an aplishedpliance leader with minimum 12 years' progressive experience spanning top-tier regulatory agencies and multinational financial institutions. The successful candidate better possess direct SFC regulatory or Big4 Auditing experience, having managed full-cycle SFC inspections.
Job responsibilities
- Oversee thepliance requirements for thepany as defined by SFC
- Lead the firm while providing guidance to ensure best practices with industry standards
- Advise on regulatory requirements and ensure timely escalation of anypliance issues
- Provide strategic guidance to senior management related topliance
- Provide training and awareness programs to employees to ensure high understanding
Requirements
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Director Compliance • Hong Kong