Compliance Officer or Compliance Manager - Fund house
$40,000.00 - $55,000.00 / month
Central and Western District
4 April 2019
Banking and financial services
A well established Financial institution with a fast growing and growing presence in Asia has a brand new opening for Compliance officer/ Compliance manager role.
- Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements;
- Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
- Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, etc.;
- Assist in monitoring staff dealing activities and maintaining the Group's restricted list and watch list;
- Involve in company secretarial duties and record keeping for Group's subsidiaries and associated entities; &
- File and monitor Disclosure of Interests notification in compliance with HKEx rules;
- Assist in Funds setting up works by coordination with lawyers, bankers and fund administrator;
- Handle ad hoc duties as assigned by team head from time to time.
- Degree in Law, Accounting; or related disciplines preferred;
- Minimum 2-3 years relevant experience preferably in brokerage house, asset management house or compliance consulting company;
- Possess some basic knowledge of investment funds set up would be advantageous but not a must;
- Good command of both written and spoken English and Chinese, including Putonghua; &
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
Hong Kong9th Floor, Nexxus Building
41 Connaught Road
Hong Kong Island
hk +852 3653 7300