Head of Compliance (Well Known Chinese Fund House)
11 months ago
Job Description Draft and set up new compliance policies and procedures, compliance monitoring, and various compliance matters Provide professional ad..
Job Description Draft and set up new compliance policies and procedures, compliance monitoring, and various compliance matters 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 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; Requirement Fluent in English and Chinese, including Putonghua Around 10 years compliance experience in fund business and secondary market investment Able to work independently
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