Senior Compliance Manager (Asset Management) $80K+/ month recruitment
The Company
This asset management firm is a market leader with a strong presence in Asia and is currently looking for a compliance manager to supervise its team. This is a great opportunity to work in a stable, reputable and recognised company.
The Role
The successful candidate will be primarily responsible for:
- Leading a team of 3 Manager/ Assistant Managers
- Undertake risk-based compliance monitoring or perform special monitoring reviews as agreed from time to time with specific business areas, including the identification and reporting of potential regulatory issues
- Marketing Material - the review and approval of marketing materials to be distributed in the Asia Pacific region
- Compliance Monitoring Programme - undertake testing, prepare reports and prepare risk assessments pursuant to the Compliance Monitoring Programme for Hong Kong and Singapore
- Licensing - prepare and submit licensing forms, update CPT record and other related matters
- Regulatory Developments - keep abreast of regulatory developments and provide regulatory updates to the business
- Monitor the implementation of issues highlighted in external audit, internal audit, compliance monitoring and regulatory reports
- Assist in the provision of training to staff on topics including induction, anti-money laundering and other ad hoc compliance topics
Your Profile
The individual will require:
- university degree preferably in Accounting, Business Administration or Finance
- 10 years of working experience in audit/compliance roles in finance industry
- Knowledge in the SFC regulations, codes and guidelines applicable to the asset management industry
- luent in English, Cantonese and Mandarin
Apply Today
Send your resume (in WORD format) by clicking the apply button now. Please note that only short-listed candidates will be contacted.
June 2, 2012
• Tags: Compliance, Legal careers in the Hong Kong SAR, month) recruitment, Senior Compliance Manager (Asset Management) $80K+ • Posted in: Financial