Our client is a leading asset management firm with strong presence in Asia. They offer international and global equity portfolio strategies designed to help a variety of clients achieve investment and financial goals. They are looking for a Compliance Officer to join their Hong Kong team to support compliance advisory, reporting and monitoring.
The Hong Kong team covers the Hong Kong and China Business.
- Review of marketing materials from a compliance perspective
- Undertake risk-based compliance monitoring or perform special monitoring reviews as agreed from time to time with specific business areas, including the identification and reporting of potential regulatory issues
- Undertake market abuse monitoring
- Oversee and undertake local or international share disclosures, including the provision of information to other offices and Group Compliance
- Provide advice to staff in relation to the Group Personal Account Dealing Policy and assist staff in making securities declaration / making preclearance request in the system
- Monitor the implementation of issues highlighted in external audit, internal audit, compliance monitoring and regulatory reports.
- Provide advisory support and research to business in areas such as licensing and staff dealing
- Prepare reports for the local regulators and Group Compliance
To be successful in this role, you should possess the following requisites:
- A degree graduate preferably in Accounting, Economics, Business Administration or Finance.
- At least 3-4 years of working experience in audit/compliance roles in finance industry
- Proficient in both verbal and written English and Chinese
- Knowledge in the SFC regulations, codes and guidelines applicable to the asset management industry.
- Candidates from audit background looking for a change in career to Compliance are welcome to apply.