Assistant Compliance Manager, Asset Management ($20-35K) recruitment
The Company
As one of the leading asset management firms, our client is identifying an experienced Assistant Compalince Manager to join their growing business. In this role you will be responsible for providing support to the Compliance Manager, assisting in the ongoing compliance monitoring, handling licensing matters, ensuring regulatory obligations are met and that adequate controls are in place.
The Role
- Performing risk analysis on new business and new product;
- Assisting in reviewing the marketing materials to ensure that regulations are adhered to;
- Ensuring regulatory compliance is adhered to;
- Assisting with the design and implementation of compliance policies;
- Assisting in handling licensing related matters and dealing with SFC on ad-hoc issues;
- Identifying and monitoring breaches and ensuring appropriate action are undertaken;
- Ensuring changes in regulations are incorporated into the compliance function;
- Assisting in providing compliance advice to the Asset Management business;
- Providing compliance training to new staff on compliance policies, procedures and AML; and
- Assisting in ad-hoc projects as required
Your Profile
The successful candidate will be a degree holder in Law, Accounting, Finance or related discipline, with professional qualification is highly preferable. You must have minimum 3 years' post compliance working experience in legal and/or compliance in financial services industry. You will have strong interpersonal and communication skills. Fluency in English and Cantonese a must, ability to speak other languages is a plus.
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.