Compliance Officer, Asset Management
The Company
This is an excellent opportunity that would suit an experienced Compliance Officer with a strong financial services background looking into potentially change jobs after receiving their bonus.
The Role
- Assisting in reviewing, planning, implementing, monitoring and actively participating in the risk and compliance framework for their asset management arm;
- Reviewing and updating compliance policies and procedures according to regulatory requirements;
- Reviewing marketing materials;
- Handling of suspicious transaction reporting;
- Handling SFC licensing matters;
- Assisting in Implementation of specific controls within the compliance function;
- Performing compliance risk assessments;
- Providing compliance advisory across their asset management business;
- Liaising with regulatory authorities and carrying out related investigations;
- Participating in internal, external and regulatory audits;
- Overseeing the AML function;
- Preparing and conducting compliance training;
- 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 specifically within the asset management, securities brokerage or fund management 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.
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