Compliance Manager

Our client is domiciled in Hong Kong and holds an Asset Management license (SFC 9) regulated by the Securities and Futures Commission of Hong Kong. They are currently seeking an experienced compliance manager who are directly involved with a Type 9 manager preferably with SFC audit experience.

Role & Responsibilities

Assist in all general compliance responsibilities related to activities licensed with Hong Kong regulator eg. licence application for new representatives, annual declarations, update of compliance registers etc.
Review and liaise with the relevant stakeholders to implement / adapt to compliance controls and processes are in place to comply with relevant local regulatory requirements
Assist in regulatory notifications to the relevant regulators including Hong Kong, U.S. etc.
Review of policy and procedures in alignment to the relevant regulations, guidelines and industry best practices
Monitoring review of AML/KYC documentation during onboarding and handling of KYC escalation cases during investors’ onboarding and AML revisit exercises
Assist in compliance monitoring program and oversight
Assist in coordinating group compliance training programs
Participate in ad-hoc task/project as and when required
Experience with SFC audit preferred

Qualifications

Minimum 5 years of relevant compliance experience within the financial services industry, preferably in asset managers
Strong knowledge on regulatory requirements
Excellent interpersonal and communication skills (written and oral) and the ability to work with stakeholders at all levels;
Effectively bilingual in English and Chinese
Attention to detail and independent
Able to work well under a fast paced boutique environment
Collaborative, diligent and keen to learn

申請連結：

https://www.efinancialcareers.hk/jobs-Hong_Kong-Hong_Kong-Compliance_Manager.id20862206?utm_campaign=JS_HK_ALL_JOBS&utm_source=APAC_HK_ENG&utm_medium=FEED_PART_HK_TALENT_GOV

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