Compliance VP/SVP Responsibilities: Develop, implement, and maintain compliance program in accordance with regulatory requirements and internal policies; Provide professional advice to senior management and business units on statutory compliance, practical matters and identifying any potential risks; Responsible for implementing and executing investment compliance program for the investment and trading related activities; Formulate and update internal policies and procedures to ensure relevant compliance standards are complied with; Conduct risk assessments and implement appropriate measures to mitigate identified risks; Review marketing materials and webpage for adherence to regulatory requirements; Provide compliance training to employees to ensure awareness and adherence to regulatory requirements and internal policies and procedures; Stay up-to-date on regulatory developments and industry best practices to ensure the compliance program is effective and compliant; Handle licensing matters, enquiries, surveys and reports as required by the regulators and other stakeholders as necessary; Handle ad hoc projects assigned. Qualifications: Bachelor degree or above in Finance, Accounting or Law or a related discipline; Have working experiences in SFC 1,4,9 lisence companies; Minimum 4 years of relevant compliance/risk management experience with asset management firms and/or regulatory bodies; candidate with less experience will be considered as VP position; Solid understanding of applicable laws, rules and regulations governing the asset management industry such as SFO and FMCC; Self-motivated, detail-oriented, analytical mind, excellent interpersonal and communication skills, able to work independently and to deal with different stakeholders;
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