Associate Vice President, Compliance

The Company is seeking an Associate Vice President for Compliance to provide strategic guidance on a wide range of compliance issues. The successful candidate will be responsible for staying abreast of legal and regulatory changes and fostering a culture of compliance awareness. This role involves offering product advisory across various classes, including wealth management, asset management, forex, OTC, and corporate insurance, and conducting routine tasks such as product evaluations, marketing material assessments, and cross-border operations. The AVP will also be involved in analyzing new products and service initiatives in both local and international markets from a regulatory compliance perspective, as well as formulating and implementing compliance policies and procedures. Applicants must have a Bachelor’s degree in a relevant field and at least 3 years' of experience in securities or wealth management compliance. The role requires a candidate with a strong knowledge of structured products and a solid understanding of regulations and guidelines issued by various regulatory entities. The ideal candidate will have a proven track record in delivering compliance training, crafting policies and procedures, and conducting compliance reviews and investigations. Strong ethical principles, integrity, and enthusiasm are essential, as are excellent leadership, interpersonal, communication, and presentation skills. Proficiency in English and Chinese is required, with fluency in Putonghua being advantageous.