Compliance Manager-Asset Management Compliance Manager-Asset Management …

Non-disclosed
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
Negotiable
Non-disclosed
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
Negotiable
A client(Asset Management) with AUM of 190+ Billion USD is hiring a mid-senior role for an all-rounded compliance specialist. * 5+ years of experience in in-house compliance experience (Asset management experience is highly regarded) * Understanding of SFC (1, 4, 9), AML/CTF, Pre- and Post-trade Monitoring, and periodic review experience is highly regarded * Understanding of ETF and Mutual funds is preferred

  • Provide day-to-day advice to ensure that the Company's activities are in compliance with the latest statutory and regulatory requirement
  • Review marketing and communication materials/ presentations to ensure compliance with regulatory requirements and handle regulatory approval timely and efficiently;
  • Perform compliance monitoring on AML/CTF and KYC matters including customer/ service providers due diligence, OFAC/sanction check, assessment, etc. to ensure proper compliance with relevant regulatory requirements;
  • Handle internal, external, and regulators' inquiries, inspection, and investigation;
  • Handle staff personal account dealing and conduct periodic reporting;
  • Conduct training and prepare educational materials for colleagues to ensure they are up to date with market knowledge and requirements
  • Perform pre - and post-trade investment monitoring including coding, testing, reviewing compliance exceptions, and
  • Handle pre-trade compliance alert from Bloomberg and produce post trade compliance report;
  • Assist in handling SFC annual declarations as well as other notifications to the SFC;
  • Assist asset management department and other business units in understanding and addressing all applicable laws and regulations;
  • Prepare regular and ad-hoc compliance reports to Management and Head Office;
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