Asset Management Compliance VP

China Securities (International) Finance Holding Company Limited

Hong Kong

On-site

HKD 900,000 - 1,300,000

Full time

14 days+

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Job summary

China Securities (International) Finance Holding Company Limited is seeking a VP, Compliance Officer (asset management) to supervise compliance for asset management and primary market activities, ensuring the company operates in line with applicable laws and regulatory requirements.

The role involves designing and maintaining effective policies and procedures, performing compliance monitoring and reviews, advising on KYC, conflicts checks, due diligence, sponsor duties, independence checks, book

Qualifications

Minimum 4 years compliance experience in asset management, law firms, audit firms or regulators.
Familiar with capital markets transactions and market best practice.
Strong knowledge of SFO, HKEx listing rules, and SFC guidance.

Responsibilities

Design, implement and maintain an effective compliance program.
Assist in compliance monitoring, testing and internal reviews for asset management.
Advise business on KYC, conflicts checks, due diligence and regulatory issues.
Review projects for compliance with latest regulations and provide reports.
Communicate with regulators (SFC, HKEX) and internal teams on issues.