Job Overview

Compliance Officer

Location: Hong Kong Salary: $Competitive
Type: Permanent Contact: Sana Abbas
Posted: 4 months ago

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.  

Key Responsibilities:

  • 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.
If you are interested in this role please apply below or contact me for more information.