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Vice President, Compliance
Danos GroupHong Kong6 天前
职位描述Bachelor’s degree required. Min 9 years ofpliance experience with a US or European asset manager or investment bank; Strong experience directly dealing with HK SFC, experience handling regulatory inspections is a plus Proven planning and project management skills under tight deadlines. Excellent interpersonal, verbal, and writtenmunication skills. Self-starter who can work independently with minimal supervision.
Posted byAssociate Director, Head ofpliance andernance APAC
SCOPE & RESPONSIBILITIES
The role will primarily coverpliance matters for the Hong Kong office and activities in Mainland China, with additional support for other Asian offices as needed. Key responsibilities include :
- Managing thepliance programme for licensed and registered entities in Hong Kong and the PRC, including licensing, policy drafting, Code of Ethics oversight, distributor due diligence, regulatory filings, and liaison with regulators.
- Providing advisory on marketing materials, investment activities, outsourcing, AML, and other regulatory matters.
- Provide advisory to investment teams on securities, foreign exchange and futures trading regulatory matters.
- Working closely with global colleagues on regional and global initiatives.
EXPERIENCE & REQUIREMENTS
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Compliance Compliance • Hong Kong