Deputy Head of Compliance - International Asset Manager

Responsibilities - Responsible for a full range of regulatory compliance monitoring, testing and policy implementation - Conduct trade surveillance and oversee trading floor activities to mitigate market misconduct, insider dealing and conflicts of interest - Manage fund-related regulatory requirements, marketing materials and ongoing administration. - Manage compliance programs as well as review marketing materials - Act as the principle point of contact relevant Hong Kong regulators to support investigations / audits - Support with AML, sanctions checks, client on-boarding and periodic reviews - Advise and support internal business units on regulatory changes as appropriate Qualifications & Skills - At least 12 years experience gained within financial groups / asset managers / wealth managers - Excellent communication skills in English and Chinese (Mandarin / Cantonese) - Able to work in fast-paced environments, demonstrated resourcefulness and roll up sleeves

• Assistant Manager to Deputy Manager, Internal Control, Compliance and Legal

  Industrial and Commercial Bank of China · Hong Kong SAR