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- Leading Asset Management Company
- Excellent Career Growth
About Our Client
Global asset manager in emerging and developed markets, with significant asset coverage and delivering innovative products to their clients.
This position reports to the MD - Head of Compliance, and will be based in Hong Kong.
Maintain and enhance the compliance monitoring program, including investment restriction monitoring, trade compliance, code of ethics and other routine compliance controls ensuring that the firm is compliant with regulations, investment restrictions, internal policies and procedures;
Responsible for authorized retirement funds and Unit Trust in HK;
Supervise a small team members to perform the control tasks in accordance with the compliance monitoring program;
Provide advisory support and monitoring of the compliance with the SFC requirements on licensing and code of conduct;
Undertake risk-based compliance monitoring reviews as agreed from time to time with specific business areas, including the identification and reporting of potential regulatory issues;
Keep up with the changing laws and regulatory environment, perform GAP analysis and action plans and advise the Head of Regional Compliance/Business units of any implications;
Assist in reviewing marketing materials for business units;
Provide training to staff on topics including induction, anti-money laundering, new or changes of regulatory requirements and other ad hoc compliance topics;
Take lead to handle internal audit/external audit, client's due diligence visit and regulator inspection;
Assist in other tasks assigned and ad-hoc projects.
The Successful Applicant
- Degree holder in Law or Accounting, with professional qualification in Accounting and Finance or other similar qualification;
- At least 5 years of experience in compliance / audit / risk management function, gained from Big 4 or other sizable financial institutions including asset management companies and financial regulators in the region;
- Experience and sound knowledge in Bloomberg Compliance Manager (CMGR) or other equivalent monitoring system;
- Good command of written and spoken English and Mandarin is advantageous;
- Good communication and interpersonal skills;
- MPF and Asia regional experience highly regarded;
- Independent, strong self-initiative, and a good team player;
- Hands-on, result-driven, ability to adapt to a fast pace environment and willing to assume responsibility.
What's on Offer
Highly competitive salary with attractive benefits and career advancement.