Compliance Manager, Asset Management
Location : Central and Western District
Post Date : 27 January 2017
Our client is an Asset Management firm with an expanding workforce, and your exceptional skills in compliance are needed to enhance their compliance functions. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be a part of a business that continually invest in its employees by providing ongoing training, networking and mobility.
As a direct reporter to the Head of Legal, Compliance, and Risk you will serve as a team member under the Compliance Department to strengthen the compliance functions for their Asset Management business.
- Reviewing and updating marketing materials, policies & procedures to ensure meeting regulation requirements.
- Providing compliance advice to business units
- Performing compliance reviews/ monitoring for the Asset Management business
- Handling enquiries from law enforcement, regulators, and customers
- Conducting compliance monitoring and reporting on anti- money laundering related matters
- Conducting KYC review and approval for all on-boarding and existing customers
- Handling customer complaint cases
- University graduate with a background in Finance, Business, or Law
- Minimum of 4 years of compliance experience in banking industry, exposure in Asset Management is advantageous
- Excellent interpersonal and communication skills
- Proficient in both spoken and written Cantonese and English. Mandarin is a plus.
- To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
41 Connaught Road