Senior Compliance Officer (Asset Management)
Major Job Duties:
- Provide advice to business units and support on the full spectrum of compliance functions with particular focus in the Asset Management and Private Equity businesses, including but not limited to fund set-up and fund documentation, trade compliance, design and implementation of compliance policy, procedures and other compliance controls, and organize compliance training, etc. to ensure that Company’s activities are in compliance with latest statutory and regulatory requirements;
- Design, review and conduct regular compliance monitoring procedures and checking;
- Monitor internal controls, review/ establish compliance policies procedures to meet with regulatory requirement and make recommendation on existing policies and procedures for enhancement;
- Review fund distribution activities and approval of marketing materials;
- Conduct regular/ad hoc compliance monitoring procedures and checking such as tape listening, KYC/AML surveillance, review of customer account opening documents, etc.;
- Assist in tracking regulatory changes and ensure related business units are well informed;
- Act as one of the key contact persons with the regulator and internal/external auditors;
- Provide compliance advisory and assist the related business units in understanding and addressing all applicable laws and regulations;
- Complaint handling, investigation and updating of complaint register;
- Assist in ad hoc projects as assigned;
- Such other duties as shall from time to time be directed by the superiors
Minimum Requirements:
- Bachelor degree or above in law, finance, accounting or related disciplines;
- A minimum of 7 years of relevant compliance experience in Asset Management (including Private Equity) industry/financial institutions;
- Excellent knowledge of SFC regulations and other relevant regulations;
- Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines;
- Responsible, detailed-mind, well-organized with good communication skills;
- Excellent command of spoken and written English and Chinese (including Putonghua)
We offer attractive remuneration and benefits including 5-day working week to the right candidates. Interested parties, please send your full resume including your CURRENT and EXPECTED salary to Head of Human Resources Department, China Merchants Securities (HK) Co., Ltd., 48/F, One Exchange Square, Central, Hong Kong or by email to recruit@cmschina.com.hk.
As an equal opportunity employer, we welcome applications from all qualified candidates. Please note that only short listed candidates will be notified. Applicants not hearing from us within 6 weeks from the date of advertisement may consider their applications unsuccessful. All personal data of unsuccessful applicants will be treated in strict confidentiality and used for recruitment purposes only, and will be destroyed immediately upon completion of the recruitment exercise.
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