Minimum of 4 years of solid experience in AML / regulatory compliance on financial industry. Working experience with regulator is an advantage.
Noah International (Hong Kong) Limited (“Noah Hong Kong” or “Noah HK”) is a subsidiary of Noah Holdings Limited (NYSE: NOAH) (“the Group”) and is managed by experienced senior management and professional specialists. We are rooted in Hong Kong with the eyes on the global market, connecting the globe with the most updated financial information and offering the high-net-worth individuals, family offices, and corporations from China with full range of global asset allocation, family wealth inheritance, and other financial services. Noah Holdings (Hong Kong) Limited as part of Noah HK, is regulated by the Hong Kong Securities and Futures Commission with Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) licenses since 4th January, 2012. We are the overseas platform of financial product selection and structuring for the Group. Currently, the offshore financial products offered by Noah HK are categorized into 5 categories: Credit Fund, Secondary Market, Real Estates, Private Equity, and Cash Management. We design and advise suitable investment products for clients based on their needs in the global financial market. We work closely with leading fund managers in order to minimize the concentration risk of client portfolio and assist clients to achieve global asset allocation.
Scope of Responsibilities:
- Performance of risk based reviews and other activities in relation to the Regulatory Compliance & AML Monitoring and Testing program
- Assist the Head of Compliance in the planning and execution of the compliance and monitoring testing plan
- Evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls
- Maintain quality assurance of the relevant compliance monitoring and testing program
- Investigate on compliance exceptions and ensure rectifications had been taken
- Report identified issues to senior management
- Handle enquiries and advise on issues relating to SFC rules and regulations including but not limited to account opening, client on-boarding KYC/AML, client suitability, professional investors rules contract note rules etc.
- Manage compliance related project initiatives, including but not limited to implementing system control, risk-based tool / monitoring systems, enhancement of workflow etc.
- Advising on / formulating policies, guidelines and business workflow, e.g. designing forms and call-back scripts
- Monitor and identify regulatory updates and incorporate into business practice
- Assist in the handling of client complaints or special investigations
- Maintain training programs to help licensed staff fulfil CPT requirement
Skills & Qualifications:
- University graduate with major in Accounting, Finance or Law is preferred
- At least 4 years of solid and relevant work experience with sound knowledge of the financial services or related industries (i.e. worked in the front office, performed any risk management, compliance, internal audit or forensic accounting functions, or worked in any local or overseas regulator)
- Proven organizational, planning, interpersonal, analytical, problem solving, decision making, and team work skills
- Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines
- Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments on timely basis
- Competitive package + year-end bonus + insurance benefit
- Full range of professional training program
- Bright career path to every successful candidate
- Company sponsors selected professional qualification
If you are ready to challenge yourself in a performance-driven and dynamic culture that recognizes and rewards talent, we would like to meet you. We are an equal opportunity employer. Our application process is completely secure and confidential. When you submit your credentials, we will review your application, examine your qualifications. We will contact you to pursue a conversation if your background and skills align with our firm’s needs.