My client, a reputable Asset Manager, is looking for a compliance director.
- Manage and identify Compliance matter related to SFC business.
- Responsible for efficiency and effectiveness evaluation and improvement and ensure current activities are in compliance with internal guidelines and external regulations.
- Revise general operation's policies and procedures of company's compliance program
- Monitor and coordinate other departments to make sure compliance of business activities to keep the status of all compliance activities and to identify trends.
- Work with relevant frontline or mid/back departments to direct compliance issues to appropriate existing channels for investigation and resolution.
- Bachelor's degree holder majoring in Law, Finance or any other related disciplines with at least 8 years solid working experience in financial services company
- Familiar with HKSFC Licensing regulations, codes, guidelines and reporting requirements.
- Sound knowledge in investment products, funds and structures
- Good interpersonal skills with good communications skills & team spirits
- Multilingual / Multicultural working environment