Compliance Officer or Compliance Manager - Fund house


Salary:

$40,000.00 - $55,000.00 / month

Location:

Central and Western District

Date posted:

4 April 2019

Employment type:

Permanent

Reference:

CCCom001

Specialisation:

Banking and financial services


Description

The Company

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.

The 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.

Your Profile

  • 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; &

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.



Hong Kong

9th Floor, Nexxus Building
41 Connaught Road
Central
Hong Kong Island
hk
+852 3653 7300
Team Assistant/ Fintech/ 25k/ Attractive benefits
Sheung Wan
Permanent
20 September 2019
Inventory Analyst | Luxury Retail
Central and Western District
Permanent
20 September 2019
Testing Manager - MNC (12 months rolling) - $40-$70K
Central and Western District
Consulting
20 September 2019
Controls Assurance Business Analyst - IFRS 17
Central and Western District
Consulting
20 September 2019
Junior Accountant -20k
Central and Western District
Permanent
19 September 2019
Senior Financial Analyst ( Open to Big 4 )
Central and Western District
Permanent
19 September 2019
Immediately Available-Procurement Analyst-$25-35k per month
Central and Western District
Consulting
19 September 2019
Regional Senior Financial Analyst (up to 40k!)
Central and Western District
Permanent
19 September 2019
FP&A Manager - Insurance - up to 55K
Central and Western District
Consulting
19 September 2019
Finance Manager, immediately start, up to 65k
Hong Kong
Consulting
19 September 2019
IT Project Manager
Central and Western District
Permanent
18 September 2019
Senior Digital Innovation Manager - Utility sector
Central and Western District
Permanent
18 September 2019
Senior Analyst Programmer / System Analyst - Banking
Central and Western District
Consulting
18 September 2019
See more jobs >