Compliance Manager (Buy-side) Compliance Manager (Buy-side) …

Pacific Focus
in Hong Kong
Permanent, Full time
Last application, 13 May 21
Attractive Package + Bonus
Pacific Focus
in Hong Kong
Permanent, Full time
Last application, 13 May 21
Attractive Package + Bonus
Posted by:
Rachel Chan • Manager - Financial Services Recruitment
Posted by:
Rachel Chan
Manager - Financial Services Recruitment
A Chinese asset management is looking for a high-calibre to join the Compliance department on a general compliance position.

Responsibilities

  • Implement compliance controls and monitoring programs, including general compliance and investment compliance
  • Formulate, review and update policies and procedures
  • Liaise with SFC and regulatory bodies and handle their queries, inspection, reports and licensing matters
  • Monitor and review business activities, transactions, documentation and other records in ensuring the compliance with regulatory requirements
  • Provide day to day compliance advice and guidance to business units
  • Conduct review and investigation in a wide variety of compliance-related matters
  • Involve in new product launch projects by providing compliance input
  • Manage and provide compliance training
  • Perform ad hoc projects as required

 

Requirements

  • Bachelor degree in Law, Finance, Accounting or other related disciplines
  • Minimum of 5 years relevant compliance experience in the financial services industry (preferably in securities and asset management firms)
  • Strong knowledge of SFC regulations, AML legislation and other relevant regulatory requirements
  • Hands-on experience in dealing with regulatory bodies and compliance issues
  • Independent, self-initiative and good interpersonal skills
  • Good command of written and spoken English and Chinese, fluent in Mandarin
  • Immediately available is preferred
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