China Life Franklin Asset Management Co., Limited
China Life Franklin Asset Management Co., Ltd. ("CLFAMC") is a joint-ventured asset manager of two Global's leading financial institutions - China Life Group and Franklin Templeton Investments. CLFAMC was established in Hong Kong since 2006' and is growing at a fast pace. We are currently looking to identify an experienced individual to join our compliance team:
jobsDB Ref. JHK100003004919292
The caliber mainly oversee the Compliance function of the Compliance Team, while working together among the team on Legal functions -
On Compliance side (your key role) -
1. To ensure the company’s ongoing and new business in compliance with requirements of relevant regulatory bodies, and to ensure the company’s internal procedure and policies are in line with latest rules and ordinance.
2. Supervise the licensing related matters and deal with SFC on higher level issues
3. Supervise in conducting surveillance on the staff dealing and company’s trading activities to identify any potential insider trading and breaks of the Chinese-Wall.
4. Develop and implement compliance manual, procedures and monitoring programs to ensure they reflect current regulation, industry best-practice, and changes in business structure and activities.
5. Provide AML advisory support to the Marketing Team.
6. Raise and maintain compliance awareness among staff by providing timely information, publications and relevant training.
7. Able to advise the management on relevant asset management rules and regulations in Hong Kong and other jurisdictions.
8. Work closely with the Fund Managers and Traders to provide daily support for their on going business requirements on investment guideline management controls in Bloomberg.
9. Perform day-to-day investment guideline management activities in the compliance module in Bloomberg, determine and provide guidance in interpretation of rules for setting into the system.
10. Liaise with internal teams to discuss AML/KYC requirements and convey KYC approval status.
11. Review and approval of KYC documentation, information, research and Due Diligence for new and existing clients.
12. Communicate recommendations to impacted stakeholders.
13. Escalate breaches, errors and critical issues with a focus on resolution.
On Legal side (your assisting roles) -
1. Negotiate master agreement terms with various counterparts while at the same time act as the company's hub to liaise with external legal advisors.
For whom we are looking for?
1. Degree holder or above with major in Law (focus on Commercial Law & Contract Law will be a plus), Accountancy, Risk Management, Banking & Finance or related disciplines.
2. At least 5 years experience in a Legal or Compliance role gained in Hong Kong, preferably gained from asset management industry.
3. Fluent spoken in English and Mandarin, written Chinese & English.
4. Familiar with regulatory environment in regional financial industry.
5. Excellent interpersonal and communication skills.
6. Candidates with less experience will be considered assistant manager.
Interested parties please send detailed resume with current and expected salary to the Human Resources Manager by e-mail. All applications will be treated in strict confidential and personal data collected will be used for recruitment purpose only.