Our client is looking for additional support under their Legal & Compliance team. This role is a 6 to 9 months temp/ contract role to ensure Asia operations comply with relevant legislation and regulation.
Reporting to the Head of Compliance, the primary purpose of Compliance Associate is to support the team and ensure that the business conducted within the Asia region complies with relevant laws and regulations including:
- licensing for individual and corporate level, management of the individual registration process where applicable.
- maintaining up to date licensing and training records for the HK and SG licensed associates.
- preparing regulatory reporting for the firm.
- ensuring policies and procedures are followed to comply with local conduct of business rules.
- maintaining knowledge of regulatory developments.
- performing periodic compliance monitoring covering Asia offices.
- providing consultative support and advice on Code of Ethics and Conduct related matters.
Requirements:
- immediately available / short notice period
- University degree
- minimum of 3 to 5 years of relevant compliance experience with asset managers, fund houses, hedge funds or etc.
- sound knowledge of relevant regulations in HK i.e. SFC and/or MPFA
If you are interested in this role, please apply below or contact me for more information.
