Assistant Manager, Business Compliance, Asset Management
Location : Eastern District
Post Date : 13 April 2017
Our client is a reputable, multi- faceted European Asset Management firm with a growing business in APAC region, and your exceptional skills are needed for Compliance function. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be part of a business that continually invests in its employees by providing ongoing training, networking and mobility.
As a direct reporter to the Head of Legal & Compliance you will serve as a compliance expert to perform well-rounded compliance tasks for the group.
- Review and enhance compliance policies and procedures to ensure regulatory requirements
- Conduct compliance review on client due diligence under the local AML and CTF guidelines
- Review marketing materials to ensure HK and APAC compliance regulations
- Implement and conduct regular compliance monitoring and testings procedures
- Handle and coordinate enquiries from SFC regarding licensing matters, on-site examination, etc.
- Provide compliance advisory and training to internal staffs
- Perform compliance monitoring and review reports on investment compliance
- Degree holder in Accounting or Law, with relevant professional qualifications
- Minimum 3 years of compliance experience in asset management firms or SFC
- Familiar with SFC codes and guidelines and Securities and Futures Ordinance
- Solid exposure in handling enquiries from regulators such as SFC
- Analytical and detail-minded, with great communication skills
- Excellent command in spoken and written English and Chinese
To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
41 Connaught Road,