VP Compliance

Job Title: VP Compliance
Contract Type: Permanent
Location: Hong Kong
Reference: JW-18123-1
Contact Name: Justin Wan
Contact Email:
Job Published: December 07, 2018 17:48

Job Description

VP, Compliance – ETF


Our client, a reputable and trustworthy securities company, is looking for a qualified VP Compliance specialize in ETF as below.



  • Recognize and assess compliance risks of the operations and business activities of Asset Management, especially ETF

  • 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

  • Evaluate business processes and new initiatives came out by the business units to ensure they are in accordance with regulatory requirements, focusing on ETF

  • Draft, revise, update and maintain Compliance policies and manuals of the ETF

  • Analysis, improve and develop the compliance programs, procedures as well as guidelines for business unit respectively

  • Manage relationship with relevant Exchanges and Regulators, handling questions and requirements



  • Degree holder major in Laws, Finance or other related disciplines

  • 5-8 years’ experience relevant with compliance in Asset Management

  • Experience in ETF or authorized funds

  • Good command of written and spoken English and Chinese including Mandarin  


If you are interested, please send your CV and cover letter to and

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