1) Top-tier Chinese asset management firm 2) Extensive Compliance exposure of Asset Management 3) With 3-5 years of above relevant work experience
- Responsible for the company's personal account dealing monitoring, implementation of compliance monitoring, analysis;
- Responsible for the company and its staff compliance management and regular and irregular inspection, internal audit findings and remediation;
- Act as the liaison with regulatory agencies, internal and external advisors, and other internal control groups on compliance related issues and ensure all business activities are in compliance with relevant rules and regulations;
- Responsible for reviewing marketing materials and agreements and conducting anti-money laundering compliance checks;
- Ensure proper handling and maintenance of CPT records, license application, company director applications and client complaints;
- Handle FATCA / CRS related matters; and
- Perform ad-hoc assignments as assigned.
- Bachelor's Degree holder or above in Economics, Finance, Accounting or related fields;
- Candidates with CPA and ACAMS Membership are preferred;
- With 3-5 years of above relevant work experience preferably in compliance field;
- Candidates with less experience will be considered as Deputy Compliance Manager;
- Good proficiency in MS Office (Excel, Word and Powerpoint), strong communication and problem-solving skills are preferred; and
- Good command in written and oral English and Chinese including Putonghua.