Head of Legal and Compliance (Asia-based Asset Management Company) recruitment
Responsibilities:
- Providing quality advice to the local management on the relevant statutory/regulatory requirements and internal policies
- Developing and implementing an effective compliance framework and ongoing compliance monitoring program
- Identifying weaknesses and recommending procedures to improve operational efficiency and control
- Overseeing the account opening processes, conducting on-going transaction surveillance review, and providing advice in respect of AML
- Coordinating and liaising with regulatory authorities for regulatory enquiries, reporting, inspection or investigation;
- Carrying out independent investigation on complaints, errors, irregular activities and suspicious transactions
- Monitoring capital adequacy requirements
- Preparing regular and ad hoc reports to local management and group compliance at headquarter
- Preparing and updating compliance manual, policies and procedures
- Managing the regulatory risk of the company
- Supervising, handling and reviewing company agreements including delegation agreement, distribution agreement, services agreement and other business agreement as required
- Working and liaising with internal and external parties to coordinate in regulatory matters upon new product launch
- Reviewing marketing material and due diligence questionnaire
Requirements:
- University degree in Law, Accounting, Finance or other related discipline
- A minimum of 10 years of legal and compliance experience preferably gained from reputable and sizeable investment bank, fund house or regulatory bodies
- In-depth knowledge of rules, regulations and guidelines of Securities and Futures Commission and HKEX
- Familiarity with HK and generally Asia Pacific (e.g. Singapore, Taiwan) regulations with the experience in dealing with SFC authorized products, UCITS, hedge funds or ETF will be a plus
- Good knowledge of financial products
- Strong communication skills and interpersonal skills
- Able to communicate with all levels with good team management skill
- Fluency in written and spoken Chinese and English
*** Candidate with less experience will be considered as a Legal Compliance Manager ***
Interested candidates please forward your resume (in MS Word format) together with current and expected salary details to SarahP@kellyservices.com.hk contact Ms Sarah Poon on 2281-0020 directly for further information.
Data collected will be used for recruitment purposes only. Candidates not contacted within 2 weeks should consider their application unsuccessful.
December 4, 2011
• Tags: Asset Management careers in the Hong Kong SAR, Head of Legal and Compliance (Asia-based Asset Management Company) recruitment • Posted in: Financial