Senior Compliance Manager
Our client is well-recognized asset management firm who offers professional investment management expertise through international funds. They are seeking a seasoned Compliance Manager to join their team. The position will be based in Hong Kong.
The Role
Reporting to the Chief Compliance Officer, you will be fully responsible for:
- Establishing a comprehensive compliance monitoring program for the business
- Overseeing the design, implementation and maintenance of the company's compliance procedures manual and monitoring program
- Handling and advising cross-border regulatory matters (e.g. AIFMD, FATCA etc.)
- Reviewing fund distribution activities, including approval of market materials
- Identifying and responding to ongoing regulatory changes and to implement new policies and procedures where necessary
- Managing work relationships with the regulatory bodies by having an effective communication between business leaders and other functional areas
- Managing regulatory compliance related licenses and registrations of the group in overseas jurisdictions (e.g. US, Singapore etc.)
- Involving in ad hoc projects
The Successful Applicant
You will be a University Graduate holding a degree in law and/or economics with at least 6 years’ experience gained within an asset management compliance function. You will possess sound knowledge of MPFA, SFC codes and guidelines and have strong communication, analytical and leadership skills. Hands on experience with US Investment Advisors Act will be an advantage. Fluency in English and Chinese (both written and spoken) is preferred as this person is required to produce technical documentation for colleagues in China.
Contact Us
Please press the APPLY button or email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion. For more Compliance positions, please visit our website (http://alsrecruit.com/) and contact us for details. (EF/9873)
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