Leading global Asset Manager with a presence in over 20 offices has a requirements for an experienced compliance professional with a strong knowledge of the region regulators. This position will be based in Hong Kong and work as part of an experienced team.
Key responsibilities
- Review local, regional or global sales and marketing materials on a variety of products and services according to global and local standards;
- Handle SFC licensing and regulatory filings, including licensed representative application or RO applications and routine SFC regulatory filings;
- Perform AML/KYC review and regular screening and on-going monitoring review;
- Code of Ethics – responsible to review and approve staff dealings for the region, monitoring and surveillance, including T&E review, conduct compliance/or regulatory training. Update the policy and procedures
- Conduct and execute the risk based compliance monitoring program for the region; and
- Management reporting – support the Head of Compliance to coordinate with local, regional or head office and handle various cross border reporting, e.g. Form ADV, management reports, governance committee reports etc.
- Assist in performing Asia Pacific ex Japan central trading desk monitoring tasks to ensure regulatory and internal requirements are complied with.
- Provide support to the investigations and follow up on potential violations, as required;
- Perform monitoring tasks to ensure regulatory, client specified and internally established investment restrictions for global, regional and local mandates are complied with. Investigate and follow up on potential breaches of such investment restrictions; and
- Assist or handle internal and external audits.
- Perform Ad-hoc tasks and participate in various regional or global projects.
Key requirements
- Degree holder in Law or Accounting preferred, with professional qualification in Accounting and Finance or other similar qualification;
- At least 3-8 years’ experience in compliance / audit / risk management function, gained from Big 4 or other sizable financial institutions including asset management companies and financial regulators;
- Relevant product knowledge, including Mutual Fund, MRF, Private funds, MPF or other retirement funds knowledge and Asia regional exposure advantage;
- Knowledge in Bloomberg AIM or other equivalent monitoring system;
- Good command of written and spoken English and Mandarin is advantageous;
- Good communication and interpersonal skills;
- Independent, high accuracy, strong self-initiative, and a good team player; and
- Hands on, result-driven, ability to adapt to a fast pace environment and willing to assume responsibility.
If you are interested in this role please apply below or contact me for more information.
