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
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