VP, Compliance – ETF
Our client, a reputable and trustworthy securities company, is looking for a qualified VP Compliance specialize in ETF as below.
Responsibilities:
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Recognize and assess compliance risks of the operations and business activities of Asset Management, especially ETF
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Deliver daily regulatory advice and management on rules and internal policies as well as its latest updates; ensure the business units in comply with the law, rules and regulations
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Evaluate business processes and new initiatives came out by the business units to ensure they are in accordance with regulatory requirements, focusing on ETF
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Draft, revise, update and maintain Compliance policies and manuals of the ETF
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Analysis, improve and develop the compliance programs, procedures as well as guidelines for business unit respectively
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Manage relationship with relevant Exchanges and Regulators, handling questions and requirements
Requirements:
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Degree holder major in Laws, Finance or other related disciplines
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5-8 years’ experience relevant with compliance in Asset Management
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Experience in ETF or authorized funds
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Good command of written and spoken English and Chinese including Mandarin
If you are interested, please send your CV and cover letter to Justin.Wan@jac-recruitment.com and jac.hk@jac-recruitment.com