Associate / AVP – Compliance Officer recruitment
Hong Kong
- Good career prospect
- Multi-cultural environment
Reporting to the Head of Compliance, you will be fully responsible for:
- Monitoring and implementing compliance surveillance framework
- Conducting compliance reviews and ensuring regulations are policies are adhered to
- Providing timely compliance advisory services and approvals to business and functional units
- Developing and reviewing testing program and controls relating to investment guidelines
- Monitoring business activities and implementing specific measurements as necessary
- Ensuring AML and personal investment processes and systems comply to regulatory requirements
- Developing and implementing compliance program to support new business initiatives
The Successful Applicant
You will be a University Graduate holding a degree in law and/or economics preferred with at least 3-5 years experience gained within a financial services compliance function. You will possess working experience relating to investment guideline monitoring and surveillance functions. Hands on experience with asset management business and/or Control Room duties will be an advantage. Fluency in English and Mandarin, both written and spoken is essential.
Please email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion.
(EF/7634)
December 14, 2011
• Tags: Asset Management careers in the Hong Kong SAR, Associate, AVP, Compliance Officer recruitment • Posted in: Financial