Compliance Officer or Compliance Manager - Fund house

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Robert Half Hong Kong
  • 12 Mar 19

This role will give you a great exposure to join a well known Private equity company with good remuneration package

The Company

A well established Financial institution with a fast growing and growing presence in Asia has a brand new opening for Compliance officer/ Compliance manager role.

The Role

  • Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements;
  • Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
  • Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, etc.;
  • Assist in monitoring staff dealing activities and maintaining the Group's restricted list and watch list;
  • Involve in company secretarial duties and record keeping for Group's subsidiaries and associated entities; &
  • File and monitor Disclosure of Interests notification in compliance with HKEx rules;
  • Assist in Funds setting up works by coordination with lawyers, bankers and fund administrator;
  • Handle ad hoc duties as assigned by team head from time to time.

Your Profile

  • Degree in Law, Accounting; or related disciplines preferred;
  • Minimum 2-3 years relevant experience preferably in brokerage house, asset management house or compliance consulting company;
  • Possess some basic knowledge of investment funds set up would be advantageous but not a must;
  • Good command of both written and spoken English and Chinese, including Putonghua; &

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.