Vice President, Regulatory Compliance, Asset Management

The Company is seeking a Vice President for Regulatory Compliance in Asset Management. The successful candidate will be responsible for supporting the Hong Kong and North Asia Compliance team in a range of regulatory compliance matters. This includes managing and enhancing the firm's compliance monitoring program, conducting compliance reviews and testing, and ensuring adherence to applicable regulatory requirements. The role also involves reviewing marketing materials, client communications, and product-related documentation, as well as supporting AML/KYC, sanctions screening, and vendor due diligence processes. The VP will be expected to have a strong background in compliance, with a focus on asset management, investment management, private markets, securities firms, or financial institutions. Applicants for the Vice President, Regulatory Compliance position at the company should hold a degree in law, accounting, finance, or a related discipline, and have at least 7 years' of compliance experience in the relevant sectors. A sound knowledge of SFC regulations, asset management compliance, and regulatory frameworks is essential. The role requires experience in compliance monitoring, marketing review, AML/KYC, and regulatory reporting, with exposure to trade surveillance and investment-related compliance matters being advantageous. Strong stakeholder management, communication skills, and the ability to work independently in a dynamic environment are also key requirements. Proficiency in English is necessary, and Chinese language skills would be a plus.