Senior Compliance Manager, Hong Kong – EFNC/CN74704/MSON recruitment

Responsibilities

1. Provide day-to-day compliance advice and guidance to Investment Management business.
2. Monitor and control of the business activities to ensure compliance with compliance policies and regulatory requirements.
•         Review new business initiatives from a local regulatory, best practice and group perspective.
•         Support the business in new investment projects or product developments by reviewing documentations.
3.Identify compliance; timely organize the internal rules and policies review according to the business and regulatory development. (Procedures policies)
4. Identify operational risks
5. Reporting:
•         Internal
Report and escalate internal controls and compliance weaknesses (breaches) in the business, recommend corrective actions, and monitor the follow-up on the corrective actions taken.
•         External
Required reporting to the relevant regulators.
6. Conduct investigation on suspicious transaction, incidents of investment, business development
•         Liaise with the SFC and other regulators on all licensing and compliance issues.
7. Provide compliance training to raise risk awareness of the company.
8. Coordinate Legal issues with HQ legal department and external lawyers.
9. Coordinate Risk Management for HK company with HQ risk department on company and product level.

Requirements

1. At least 5 years of hands-on compliance experience in asset management environment;
2. Familiar with HK regulatory and business environment;
3. Experience with UCIT’s funds (CSSF-regulation).

To apply please click on the 'Quick Apply' button below or email your resume to Monica.song@jobs.hudson.com quoting subject “Senior Compliance Manager, Hong Kong – EFNC/ CN74704/MSON”.  

Your interest will be treated in strict confidence and only shortlisted candidates will be notified.

(For overseas applicants only)

Please note that unless this advertisement states otherwise, to apply for this position you should have a current and valid work permit for this country or hold residency.