Compliance Assistant Manager (Buy-side)

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • ConnectedGroup Limited
  • 16 Oct 18

An international buy side firm is looking for compliance candidate to join their compliance team to strength the function.

Responsibilities:

  • Manage and develop the Compliance Monitoring Plan;
  • Perform the compliance testing
  • Report any test findings to the compliance head who will escalate to the relevant Boards;
  • Track remediation of any findings;
  • Assist in the Compliance reporting;
  • Maintain various Compliance logs in line with AML requirements;
  • Work in conjunction with the Group Compliance to ensure Asia is compliant with minimum group standards;
  • Support the compliance head where necessary including representation at Internal Compliance forums.


Requirements:

  • Minimum of 5 years of Compliance experience, preferably with a compliance monitoring background;
  • Knowledge and experience in alternative asset and corporate administration services;
  • Sound understanding of multijurisdictional financial services regulation and AML guidelines, specifically Cayman Island, Hong Kong and Singapore AML regulations;
  • Sound knowledge of customer due diligence requirements;
  • A keen awareness of risk issues in the context of Financial Crime responsibilities;
  • Pro-active, motivated and driven with an ability to work under pressure to tight deadlines;
  • Ability to communicate, engage and build relationships across the organisation and externally.