Job Description

This person will be responsible for:

- overseeing compliance across the asset management business

- ensure regional best practices by advising the business on investment restrictions and allowances, AML/KYC standards, and updates to APAC regulatory regimes

- participate in regional risk management meetings and assessments to ensure a robust system of internal controls

- partner with marketing and distribution teams to ensure all marketing materials properly align with regional and global requirements

- act as point of contact to regional regulatory bodies; formulate responses to regulatory inquiries

- ensure regional licensing requirements are met by firm employees and entities

- other ad hoc duties as required


This person should have:

- 10+ years of experience within compliance or regulatory function in financial services

- 5+ years of direct experience within the wealth management/investment management industry in Asia

- demonstrated knowledge of both HKMA and SFC regulations

- ability to work with front office business professionals and senior executives on a daily basis

- ability to communicate at a business level in Mandarin and English


If you would like to apply for this role or find out more, please contact Tony Wilkey at Robert Walters on  quoting the Job Reference WDM/. Find out more Legal & Compliance job opportunities or information, visit our website