Regulatory Compliance, Asia Pacific, Asset Management
jobsDB ref: JHK100003004998035
Employer Ref. DL130117B
Our client is a reputable, multi- faceted European Asset Management firm with a growing business in APAC region, and your exceptional skills are needed for Compliance function. With a streamlined organization this company is set for growth, and here is an exciting opportunity to be part of a business that continually invests in its employees by providing ongoing training, networking and mobility.
As a direct reporter to the COO you will serve as a team member under Compliance Department to provide oversight and enhance the Compliance culture and framework across the APAC region.
- Manage regulatory duties such as corresponding with regulators on compliance issues, regulatory examinations, licensing applications, on/off-site visits and other regulatory requirements
- Conduct regular compliance monitoring review surveillance procedures
- Provide compliance oversight and review regional marketing materials to be aligned with global and local compliance standards
- Conduct compliance review on client due diligence under the AML and CTF guidelines.
- Prepare regular reporting to global upper management on compliance matters in Hong Kong
- Degree holder in Accounting or Law, with relevant professional qualifications
- 7 to 10 years of compliance experience in asset management firms or SFC
- Familiar with SFC codes and guidelines and Securities and Futures Ordinance
- Solid exposure in handling enquiries from regulators such as SFC
- Analytical and detail-minded, with great communication skills
- Excellent command in spoken and written English and Chinese
- To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.
About Robert Half
Founded in 1948, Robert Half pioneered specialised recruitment services and today is the world's leader in placing accounting, finance, banking and technology professionals on a temporary and permanent basis.
For more than 15 years, Robert Half has been named to FORTUNE® magazine's list of "Most Admired Companies." (March 1, 2016)
Visit our website for more job opportunities: www.roberthalf.com.hk/job-search