Our client is a Chinese-based SFC type 9 license Asset Management Company, which is the group’s oversea asset management and investment platform. The investment portfolio covers equity,
fixed income and structured products. The portfolio is currently managing over HKD3 billion from our parent company and external clients.
- Identify and evaluate compliance risks of the operations and business activities
- Responsible for the overall compliance and regulatory framework
- Ensure all investment guidelines are properly implemented/recorded
- Monitor the development of regulatory changes to ensure the company policies and procedures are in line with updated regulatory requirements.
- Work closely with operations team and frontline to ensure proper reporting to regulator
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to the business unit and advice to the management
- Hold a university degree, preferably in finance / accounting / business / legal discipline
- 4 - 5 years of compliance-related experience in the securities industry
- Mature, responsible, independent and self-initiated team player
- Possess excellent communication and interpersonal skills
- Proficiency in Mandarin and English
- Short notice is preferred
Welcome to call Mr. Lam by 39746110 for confidential discussion and send CV to me with current & expected salary and notice period.