Inhouse- Compliance Manager/Responsible Officer (HK)
- Hong Kong Hong Kong Hong Kong HK
- Permanent, Full time
- Cobalt Recruitment
- 01 Feb 18 2018-02-01
Global leading investment firm; Compliance manager; Responsible Officer.
Our client is one of the global leading investment firm who is in an exciting phase of development and expansion. They are currently looking for a Compliance Manager to head up their team as well as taking up the position of Responsible Officer for their office in Hong Kong.
Key responsibilities include:
- Monitor and support all functions of a fund management company to ensure compliance with applicable laws, regulations and internal policies
- Prepare, review and monitor agreements and legal documents relating to sales, trading, corporate and commercial transactions
- Provide legal advice and solutions to management and departments concerned in supporting daily business activities
- Review weekly and monthly management accounting reports/financial reporting prepared by accountant
Key requirements include:
- University degree holder in Law, Finance, Economics, Accounting and related disciplines
- At least 5 years' relevant compliance experience in Financial Services firms (i.e. Asset Management, Hedge Funds etc.)
- License holder of SFC Type 1,4 & 9 is preferred
- Knowledge of Hong Kong SFC codes, licensing rules, guidelines and reporting requirements
- Excellent command of written and spoken English and Chinese. Fluent Mandarin is mandatory as this person will work closely with mandarin stakeholders in Hong Kong
- Work independently, able to work under pressure and meet tight deadlines
This company is well-recognized for the work they do and the employees are rewarded for their performances. The role will be perfect for a candidate looking to step up into a leading reputable organization.
License No: 12C6031 / EA Reg. ID R1325169