Asset Management Compliance Manager ($50-70K X 12) recruitment
The Company
This asset management firm is a market leader with a strong presence in Asia and is currently looking for a compliance manager to supervise its team. This is a great opportunity to work in a stable, reputable and recognised company.
The Role
The successful candidate will be primarily responsible for:
- Undertake risk-based compliance monitoring or perform special monitoring reviews as agreed from time to time with specific business areas, including the identification and reporting of potential regulatory issues
- Marketing Material - the review and approval of marketing materials to be distributed in the Asia Pacific region
- Compliance Monitoring Programme - undertake testing, prepare reports and prepare risk assessments pursuant to the Compliance Monitoring Programme for Hong Kong and Singapore
- Licensing - prepare and submit licensing forms, update CPT record and other related matters
- Regulatory Developments - keep abreast of regulatory developments and provide regulatory updates to the business
- Monitor the implementation of issues highlighted in external audit, internal audit, compliance monitoring and regulatory reports
- Assist in the provision of training to staff on topics including induction, anti-money laundering and other ad hoc compliance topics
Your Profile
The individual will require:
- A university degree preferably in Accounting, Business Administration or Finance
- 4-7 years of working experience in audit/compliance roles in finance industry
- Knowledge in the SFC regulations, codes and guidelines applicable to the asset management industry
- Fluent in English, Cantonese and Mandarin
- Candidates with less experience will be considered for the Compliance Officer Position
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.
May 16, 2012
• Tags: Asset Management careers in the Hong Kong SAR, Asset Management Compliance Manager ($50-70K X 12) recruitment • Posted in: Financial