Compliance Director, Asset Management

  • Commensurate with experience
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • ZH GlobalExec Resources Ltd
  • 13 Aug 18 2018-08-13

Our client is a leading investment holding company with focuses on Financing Services, FinTech as well as M&A activities. In view of its rapid development, a high-calibre, strategic Finance professional is required to lead the team and grow with the Group’s multi-faceted businesses.

Job Details:

  • Review and enhance the existing policies and procedures to ensure a robust, current and high quality compliance control program for supporting the business growth
  • Develop, implement, and monitor compliance program for new business
  • Provide AML/KYC advisory and operational support
  • Identify compliance gaps and recommend necessary changes to procedures to ensure adherence to regulatory and firm requirements
  • Review, draft and implement compliance policies and procedures
  • Develop and provide compliance training
  • Handle regulatory reporting, inquiries, investigation, inspections, corporate licensing related matters and ad-hoc projects
  • Maintain and review compliance policies, procedures & practices to ensure compliance with all applicable laws, regulations and company policies
  • Draft and review contracts, agreements and related materials
  • Arrange CPT training to internal staff
  • Handle ad hoc assignments

Profile:

  • University degree holder in Law, Business, Finance or related disciplines
  • Minimum of 5 years or above compliance in financial institutions Knowledge of SFC regulations, SFO and HKEx regulations is preferable
  • Mandarin MUST. 
  • Less experience candidates can considered Compliance Manager