Description of Tasks

• Experienced compliance professionals in asset and wealth management with expertise in (i) compliance risk management; (ii) establishing, implementing, monitoring and reviewing compliance policies, procedures and standards to ensure the adherence of businesses to relevant regulatory requirements; (iii) handling requests from regulators; and (iv) providing compliance advice and training to management and operational departments.

Qualification Requirements

• A relevant bachelor’s degree in commerce, finance, business administration, economics, accounting, law or other relevant programmes and received on-the-job training and industry courses and programmes; and
• At least 3 years of relevant compliance experience in asset and wealth management firms or professional firms specialised in asset and wealth management; knowledge in finance and relevant rules, regulations and guidelines of regulatory authorities including those of Hong Kong; and relevant language skills.