Kath Talent Research Group is a professional executive search and recruitment solutions firm with office in Hong Kong, London and Singapore which specializes in locating the top professionals in the Banking & Financial Services. With our well-built arrangement and staff strength, we are able to provide best-in-class talent acquisition and HR management services.

Our clients, Top Tier Banks and Financial Institutes, are currently looking for high caliber candidates to join their expanding team. 

Assistant Vice President (Asset Management Compliance)

Key Responsibilities

Reporting to the Head of Compliance, the job incumbent would:

• Handling general and investment compliance related matters pertaining to the Asset Management Department, and ensuring that the business adheres to relevant legal and regulatory requirements (mainly for authorized public funds under SFC).
• Being responsible for liaising within Compliance and Legal to ensure that any new business initiatives conform to internal requirements and external regulations.  Ensuring that the operational flow of the Asset Management Department is smooth and independent from the Firm’s other businesses.
• Providing professional advice to senior management on statutory compliance, practical matters and identifying any associated business risks and liabilities.
• Performing periodic Compliance monitoring and reviews on various business activities
• Providing relevant Compliance training on various subject matters.
• Assisting other members of the department on various other matters, including but not limited to: SFC inspections, SFC inquiries & investigations. 
• Managing license applications and CPT requirements in relation to the Asset Management business, and responding to any inquiries from regulators on such matters.
• Performing and co-ordinating fund-related Compliance controls by working closely with the Risk Department and Trustee and reporting fund investment and management activities as appropriate.
• Taking up ad-hoc projects and cross training with other Compliance team members when deemed necessary by the Head of Compliance. 

Requirements

• Bachelor degree in Law, Accounting, Business or a related discipline
• Minimum 3-5 years of relevant compliance experience with financial institutions and/or regulatory bodies
• Relevant experience in fund management operations, products and services
• Good command of written and spoken English and Chinese with fluency in Mandarin and knowledge of simplified Chinese a plus
• Legal drafting skills a definite advantage
• Self-motivated, detail-oriented, tactful when dealing with all levels of staff, excellent interpersonal and communication skills, able to work independently and under pressure

Interested parties, please send your resume to career@kathtalentgroup. com or call 2555-9266 for more information. All personal data collected will be kept in strict confidence and would only be used for recruitment purpose.