Compliance Manager - Asset Management Firm

  • HKD45000 - HKD58000 per month + bonus
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Randstad Hong Kong
  • 14 Aug 18 2018-08-14

Compliance Manager - Asset Management Firm

about the company

Our client is a global asset management firm with a strong presence in the region.




about the job

  • Review local, regional or global sales and marketing materials on a variety of products and services according to global and local regulatory standards, including HK, Australia, China, Korea
  • Perform various regulatory GAP analysis for HK and the region
  • Perform risk based AML/KYC review for the region
  • Code of Ethics - responsible to review and approve staff dealings for the region, monitoring and surveillance
  • Knowledge on Fund Manager Code of Conduct
  • Handle SFC licensing and regulatory filings, including licensed representative application or RO applications
  • Assist in performing Asia Pacific ex Japan central trading desk monitoring tasks to ensure regulatory and internal requirements are complied with



skills & experiences required

  • Degree holder in Law or Accounting preferred
  • At least 3 to 5 years experience in compliance gained from an asset management firm
  • Relevant product knowledge, including HK and UCITs Mutual Fund, MRF, Private or Alternative funds, MPF or other retirement funds (e.g. Superannuation, CPF.etc) knowledge and Asia regional exposure advantage
  • Good command of written and spoken English and Cantonese and ideally, Mandarin is advantageous

To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421.