Job Description:
- Provide compliance advice to Front Office Sales team
- Review and standardise sales and marketing materials from product and regulatory perspectives and ensure information was not exaggerated/mislead
- Primary contact point with regulators (SFC and HKEx) on enquiries, questionnaires, inspection etc
- Review and approve fund distribution activities and marketing materials
- Monitoring regulatory changes and collaborate with seniors and participate in products governance
Job Responsibility:
- University Degree in Law, Accounting, Finance or relevant disciplines
- 5 - 7 years compliance experience in asset management firms
- Solid experience in SFC Type 1 4 9 licenses. Experience is setting up/modifying policies and procedures would be an advantage
