Compliance Officer

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.