- International Asset Management Firm
- Excellent Exposure
Our client is an international 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 caliber to join them.
jobsDB Ref. JHK100003004832947
Employer Ref. jdb-4014
Manage regulatory matters, including relationships and correspondence with Hong Kong regulators, regulatory examinations, licensing and filings and other regulatory requirements for the conduct of business. Conduct regular compliance monitoring review and surveillance procedures in accordance with the compliance monitoring plan such as personal account dealing, gift and entertainments, CPT hours, licensing requirements and other specific business areas. Provide compliance oversight and review regional sales and marketing materials on a variety of products and services according to global and local standards. Conduct compliance review on client due diligence in accordance with anti-money laundering and combating terrorist financing policies. Assist to work with compliance service provider for periodic thematic review on the business for HK office. Perform ad-hoc compliance tasks and work with counterpart in various regional and global projects. Regular reporting to group compliance.
To be considered, you will be a degree holder in with around 4 to 7 years of relevant experience and with experience in asset management companies or financial regulators. Familiar with SFC codes and guidelines and SFO. Solid experience in handing enquiries from regulators such as the SFC. Good analytical and communication skills and able to work independently. Independent, strong self- initiative, flexible and team player. Hands on, ability to adapt a fast pace and work in international environment and willing to assume responsibility. Excellent command of spoken and written English and Chinese.
Interested applicants should send a detailed resume to Kelly Kam quoting reference jdb-4014 via email. Please click “APPLY NOW” button below
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)