Associate (Compliance – Manager Level) Associate (Compliance – Manager Level) …

Kingfisher Executive Search (HK) Limited
in Hong Kong
Permanent, Full time
Be the first to apply
990000
Kingfisher Executive Search (HK) Limited
in Hong Kong
Permanent, Full time
Be the first to apply
990000
Posted by:
Hannah Lau • Recruiter
Posted by:
Hannah Lau
Recruiter
Responsible for leading the compliance team, executing regulatory compliance and operational risk testing coverage for business lines (e.g. Asset Management, Capital Market & Advisory, Research) and supporting operations to ensure compliance with relevant laws and regulations as applicable (i.e. SFO, CIB membership regulations etc.).

Job Responsibilities

• Handle compliance related issues including but not limited to anti-money laundering

and connected transactions

• Formulate and review compliance policies and procedures in accordance with

regulatory requirement

• Provide internal training to enhance employee’s compliance consciousness

• Conduct due diligence review to ensure the Company’s business compliance

• Cooperate with IT Division to develop and implement online compliance system

• Prepare compliance related reports, forms or other documents

• Assist in any ad hoc tasks as assigned

 

About You

Bachelor Degree with major in Law or any related disciplines, from reputable University 

Qualification of CAMS is a plus

Minimum of 5 years’ paralegal or compliance experience gained from financial

institution or investment firm

• High integrity in compliance to Company’s regulations and requirements

• Self-motivated, responsible and able to work under pressure

• Excellent verbal and written communication skills – Mandarin and English

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