Senior Compliance Manager-Asset Management

  • HKD100000.00 - HKD150000 per month + competitive
  • Hong Kong
  • Permanent, Full time
  • Morgan McKinley Hong Kong
  • 17 Nov 17 2017-11-17

As a global professional recruitment consultancy, Morgan McKinley connects specialist talent with leading employers across multiple industries and disciplines. We have established ourselves as a preferred supplier to many of the major players in our specialist sectors, as well as with thousands of smaller local employers. In Hong Kong, we recruit within the following sectors: Accounting & Finance, Banking and Financial Services, Human Resources, IT, Risk, Compliance, Legal & Audit, Office Support and Sales & Marketing.

Our Client is a well-known international Bank with businesses expanding in corporate banking, private banking, and asset management. They have SFC Licence Type 1,4,9 regulated activities in Hong Kong. They are looking for an experienced Compliance Team Head for their Asset Management business.

Responsibilities:

  • Will report directly to the Hong Kong Head of Compliance and will be acting as the Manager In Charge for their Asset Management business
  • Provide professional compliance advisory to the business as needed and report to senior management of any issues
  • Main point of contact with the SEC and SFC on all regulatory issues and matters
  • Act as a second line of defence for all compliance monitoring matters
  • Update Compliance policy and procedures as needed and review marketing materials
  • Will have one direct report
  • Will have exposure to banking business as well on top of their asset management business

Requirements:

  • Bachelor degree in Finance/Risk/Legal or related discipline(s)
  • Minimum 10-15 years compliance experience in buyside firms
  • Strong knowledge in ETF Products are prefered
  • Must have compliance experience dealing with instititional clients
  • Must be articulate in both English and Cantonese