Senior Compliance Manager (Fund Direction)

Duties:

1. Responsible for the daily compliance management of fund-related businesses, provide compliance consulting to the business team, and propose risk assessment and improvement suggestions for new businesses, new products and business processes.

2. Responsible for fund product entry and continuous review, including product structure, investment strategy, risk level, target customers and sales arrangements, etc. for compliance review.

3. Review fund product files, sales files, marketing promotion materials, customer notifications and other related documents to ensure compliance with the Hong Kong Securities and Futures Commission and the company's internal requirements.

4. Participate in due diligence and ongoing monitoring of fund managers, investment advisors, administrative agents, custodians and other third-party service providers.

5. Responsible for fund sales compliance, including customer suitability assessment, product risk rating, sales process, investor classification, and related sales record review.

7. Provide compliance support for fund subscription, redemption, conversion and related operational processes, and participate in pre- and post-trade compliance monitoring of funds.

9. Develop, review and update company compliance policies, operating procedures and internal control systems, follow up on regulatory updates and push business units to implement.

10. Execute employee personal transactions, conflict of interest, information firewall, and other internal compliance monitoring work.

11. Organize employee compliance training, handle potential violations, and regularly report compliance risks and improvement progress to management.

Requirements:

1. Bachelor's degree or above, law, finance, accounting, business or related fields are preferred.

2. Have more than 5 years of compliance experience in Hong Kong-licensed financial institutions, with solid experience in fund business compliance.

3. Familiar with the Hong Kong Securities and Futures Ordinance, the Securities and Futures Commission's code of conduct, and the relevant regulatory provisions for fund sales and asset management.

4. Familiar with the first, fourth, and ninth categories of regulated activities; those with experience in securities companies, fund management companies, asset management institutions or wealth management platforms are preferred.

5. Have experience in fund product review, sales compliance, customer suitability, due diligence, and actual implementation of KYC/AML.

6. Able to independently review fund product documents, sales materials and internal policies, and provide business teams with executable compliance advice.

7. Have good regulatory communication, analysis and judgment, and cross-departmental coordination skills, and be able to independently push for compliance matters to be implemented.

8. Good Cantonese, Mandarin and English communication skills, able to handle English regulatory documents and professional materials.

9. Applicants with relevant Hong Kong Securities and Investment Association qualifications or relevant license experience are preferred.