Investment Compliance Manager
About Our Client
My client is a US business with various arms and over $700 millionUSD globally under management. Their asset management arm is a growing business in Asia and the forefront of expansion for them.
- Ensure that the business operates in compliance with applicable laws and regulations in relation to SFC and MPFA;
- Establish, implement and monitor compliance policies, procedures and practices;
- Review, enhance and advise on the compliance frameworks/policies of the business activities and initiatives;
- Design, implement and review compliance program, internal controls and internal work process to identify, assess, report and mitigate compliance risks in a proactive manner;
- Conduct reviews on and responding to enquiries from the regulating bodies;
- Formulate and conduct compliance training to staff;
- Keep abreast of regulatory updates and accommodate the relevant regulatory changes in a timely and prudent manner
- Perform periodic monitoring/ surveillance according to relevant regulations and internal policies.
- Monitor the activities of investment managers and investment delegates by setting, reviewing relevant indicators and reports
- Provide supports and perform other investment related duties and special projects as required from time to time.
The Successful Applicant
- Degree holder in Law, Business, Finance, Accounting or related disciplines
Job related experience required:
- Minimum 4 years of relevant compliance experience gained within asset management, investment and/or pension industry
- Well-versed in SFO codes and other regulatory requirements, e.g. AML/CFT, FATCA and CRS.
Competencies and Soft skills required:
- Attentive to details, strong analytical and problem-solving skills.
- Self-motivated, well-organized, able to work under pressure and multi-tasks with tight deadlines
- Excellent communication and interpersonal skills
- Proficiency in both written and spoken English and Chinese
What's on Offer
A competitive package is on offer and a great opportunity to shape the new team in the Hong Kong Asia hub