Compliance Specialist- Global Investment Management firm

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Hays Banking & Financial Services Hong Kong
  • 22 Apr 18 2018-04-22

Compliance Specialist role with a global investment management firm.

Your new company
With an aggressive expansion strategy, a global investment management firm is seeking an all-rounded compliance specialist to join their team in Hong Kong.

Your new role
As a Compliance specialist, you will be responsible for an all-rounded aspects from regulatory compliance, but not limited to AML and Anti-Bribery& Corruption. Your main role and responsibilities will include:

  • Oversee the introduction of the new regulatory environment in 2018.
  • Updating, maintaining and enhancing the firm's compliance monitoring program, policies & procedures and compliance manual as and when necessary.
  • Transaction reporting.
  • Client money monitoring and reporting.
  • Liaising with regulators such as HK SFC, including responding to routine queries, audits and investigations.
  • Impact analysis and approval of new business initiatives and driving the development of relevant compliance policies and procedures.
  • Critically reviewing and approving financial promotions.
  • Monitoring HK and other regulatory developments affecting the Firm's business, then working with the management team and the external compliance consultancy to ensure timely implementation. Assisting with, and the scoping of, thematic reviews in line with the regulators priorities.
  • Administering compliance training to staff such as AML and anti-bribery / corruption.

What you'll need to succeed
To be successful in this role, you will be a compliance professional with 3-5 years relevant experience preferably with prior experience within another financial institution or a HK SFC-licensed asset management firm.

You will possess good knowledge and practical experience of compliance, knowledge of trading systems advantageous.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career - get in touch via email on or call +852 2230 7933.