Compliance Associate

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • China Ping An Insurance Overseas (Holdings) Limited
  • 10 Oct 18

Primarily responsible for business aguments , legal review and drafting of legal documentation to support expanding business; Assist in review and advice to management on legal implications of internal policies and procedures; Liaise with relevant departments to ensure that where legal risks have been identified, appropriate courses of action have been taken; Provide and interpret legal information, conduct training and disseminate appropriate legal requirements to staff; Responsible for KYC and AML issues; Responsible for ETF and other public and non-public fund documentation and related operational issues.

Job Responsibilities:

  • Ensure businesses complying with relevant rules and regulations, including but not limited to monitoring of fund distribution and sale, KYC assessment, product due diligence, suitability assessment and risk matching between client and products;
  • Assist in conducting daily pre-trade and post-trade compliance checks and regular compliance monitoring reviews;
  • Assist in preparing license applications, requisite filings, notifications and regulatory surveys;
  • Assist in new products setup including but not limited to reviewing and updating offering documents, marketing materials and relevant regulatory notifications;
  • Assist in intra-group reportings and regular updating of procedure manuals
  • Any other ad-hoc tasks.

Job Requirements:

Education and Professional Requirements

  • University degree in Legal, Economics, Finance, Accounting or related disciplines

Experience Requirements

  • Minimum of 3 years of relevant experience in financial industry
  • Strong knowledge in existing rules and regulations of licensed for Type 1, 4, 9
  • A good team player with the ability to communicate with colleagues
  • Familiar with Bloomberg, MS Office applications and Chinese word processing
  • Fluent spoken English, Cantonese and Mandarin are essential