COMPLIANCE MANAGER / SENIOR MANAGER
Our client is a global investment management company with an unparalleled reputation across the Asia Pacific region. It provides companies, institutional investors and high-net-worth clients with asset management services worldwide. With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join their Compliance team in Hong Kong.
Provide compliance advisory to the business. Implement investment compliance procedures and policies in accordance with all regulatory requirements and internal guidelines. Assist in liaison with local and overseas regulatory authorities, e.g. MPFA, SFC and other third parties including the funds’ trustee and industry associations. Manage compliance related projects as assigned. Keep team leader abreast of compliance-related issues. Support licensing and continuous professional training monitoring process. Perform compliance monitoring tests. Aid the team in the reviewing of marketing materials. Answer enquiries on compliance related issues. Assist in preparation and presentation of training programs. Make recommendations for improvement of compliance policies and policies. Aid in the compiling of necessary compliance and regulatory reports and documents as assigned. Plan and direct investigations and quality assurance reviews as required.
To be qualified, you should be a Degree holder with a minimum of 5 years of Compliance experience with financial industry or regulator. Knowledge of investment industry and international financial markets. Knowledge of MPF regulations and SFC Codes and requirements. Sound communication skills. Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines.
Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2110.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)
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