- Well Known Asset Management House
- Excellent Exposure
Our client is a well known asset management house with an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, the need has arisen to recruit high calibers to join them.
COMPLIANCE - ASSOCIATE DIRECTOR / SENIOR MANAGER
jobsDB Ref. JHK100003004830152
Employer Ref. jdb-4012
Assist the Chief Compliance Officer in a broad area of responsibilities in compliance. Handle day-to-day compliance duties to ensure regulatory compliance in HK. Responsible for investment compliance and to ensure compliance with investment restrictions of the portfolio. Handle regulatory reporting. Handle enquiries and act as central contact point for regulators inspections and visits, internal and external audit reviews etc. Report on a regular basis to management on any compliance issues and regulatory changes which may impact the company. Advise senior management and handle enquiries from different departments on compliance matters. Conduct research and provide update on compliance requirements and regulations to relevant staff and implement applicable compliance policies and procedures. Design and conduct regular compliance monitoring & surveillance procedures and checking. Update the company’s compliance manual and important compliance policies in light of changes in rules and regulations. Deliver compliance training to employees. Handle ad-hoc projects from compliance / regulatory perspective.
To be considered, you should be a degree holder with a minimum of 8 years of experience in handling compliance matters in fund houses, relevant experience with regulatory bodies (e.g. SFC) is preferred. Familiar with SFC codes and guidelines and Securities and Futures Ordinance. Solid experience in handing enquiries from regulators. Good analytical and communication skills and able to work independently. Self-motivated, good leadership skill and a team player. Able to handle multiple-tasking. Excellent command of spoken and written English and Chinese is required.
Interested applicants should send a detailed resume to Kelly Kam quoting reference jdb-4012 via email. Please click “APPLY NOW” button below
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)