COMPLIANCE ANALYST - SFC TYPE 1, 4 & 9 COMPLIANCE ANALYST - SFC TYPE 1, 4 & 9 …

Value Search Asia
in Hong Kong
Permanent, Full time
Last application, 02 Dec 21
Attractive
Value Search Asia
in Hong Kong
Permanent, Full time
Last application, 02 Dec 21
Attractive
Posted by:
Chloe Miao • Recruiter
Posted by:
Chloe Miao
Recruiter
• KYC/AML & Daily monitoring control • Investor onboarding and offshore regulations • Excellent opportunity with stable buyside platform

Our client is an investment firm regulated under SFC Type 1, 4 & 9. Due to expansion, they are currently looking for a solid Compliance professional to join their compliance team in Hong Kong.

 

Your main responsibility will be to handle compliance matters for the SFC licensed entity and involved in daily monitoring and control of trading and business activities. You will support the KYC and AML functions, due diligence and regulatory authorities including handling restricted lists. You will support the investor onboarding and filing and registration in both HK and offshore markets including US, Cayman and the PRC. You will be support General Counsel and Compliance team in formulating regulatory and compliance policies.

 

 

To qualify, you should have a bachelor’s degree in related disciplines, with at least 4 years of compliance experience in regulated financial institutions. You should have good knowledge of SFO, US and offshore regulatory requirements. Investor onboarding  experience and offshore filing and registration experience will be highly preferred. You must have strong communication and interpersonal skills in English and Mandarin.

 

 

To apply for this job

Contact: Chloe quoting job ref: VSA-1539

Telephone: 852 - 2525 8820

Email: cmiao@valuesearchasia.com

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