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.
- 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
- 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.