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Responsibilities will include: • Responsible for MPFA/ SFC licensing matters, including license application/ withdrawal, annual returns, notifications and CPT etc. • Responsible for the Code of Conduct Administration, including personal trading monitoring, gift and entertainment, external directorship and employment. • Review marketing materials and obtain approval from regulator, if needed. • Conduct compliance monitoring reviews and testing • Conduct regulatory research and ad-hoc investigations • Maintain the record keeping system for the Compliance team and ensure all necessary records and reports are properly kept • Conduct Compliance training sessions • Prepare compliance policies and procedures • Perform any other ad-hoc tasks assigned by the Head of Compliance Required Skills/Experience: • Minimum of 3-year experience in audit /compliance profession, preferably in asset management industry • Previous working experience in regulator or in audit/ legal/ financial industry will be an advantage • Knowledge of the Hong Kong regulatory environment • An ability to read Chinese
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