Compliance Officer, Asset Management, SFC Type 9 大型中資國企資管, 合規/风险管理/内审工作人員, 資產管理/證監會9號牌( 歡迎IANG背景) Compliance Officer, Asset Management, SFC Type 9  …

Career International AP (Hong Kong) Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 04 Aug 20
25-40K
Career International AP (Hong Kong) Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 04 Aug 20
25-40K
Our client is a Chinese-based SFC type 9 license Asset Management Company, which is the group’s oversea asset management and investment platform. The investment portfolio covers equity, fixed income and structured products. The portfolio is currently managing over HKD3 billion from our parent company and external clients.

Job Description

  • Identify and evaluate compliance risks of the operations and business activities
  • Assist in the overall compliance and regulatory framework
  • Assist to ensure all investment guidelines are properly implemented/recorded
  • Assist in monitor the development of regulatory changes to ensure the company policies and procedures are in line with updated regulatory requirements.
  • Work closely with operations team and frontline to ensure proper reporting to regulator
  • Assistant to manage relationship with the relevant Exchanges and Regulators (SFC and HKEX), handling queries and requests

Job Requirements:

  • Hold a university degree, preferably in finance / accounting / business / legal discipline
  • 1-year of compliance-related experience in the banking or finance industry, asset management or security industries preferred
  • Candidates with compliance firm experience is welcome
  • Mature, responsible, independent and self-initiated team player
  • Possess excellent communication and interpersonal skills
  • Proficiency in Mandarin and English
  • Short notice is preferred
  • Mainland Chinese background is preferred.  Adapt to work in Chinese companies is essential
  • Welcome IANG background

Interested parties please send your application with detailed CV including availability, current and expected salary in MS Word format by clicking Apply Now or contact David LI at 39746110.

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