Compliance Specialist Compliance Specialist …

Aim Higher
in Hong Kong
Permanent, Full time
Last application, 28 Feb 21
500k – 1 million
Aim Higher
in Hong Kong
Permanent, Full time
Last application, 28 Feb 21
500k – 1 million
Posted by:
Banking Team 1 • Recruiter
Posted by:
Banking Team 1
Recruiter
1. A well-established asset management company 2. Knowledge on authorized fund is a must 3. Welcome candidate from regulator and law firms

Company Description

Our client, a well-established asset management company, is seeking a Compliance Specialist.

Responsibilities

  • Act as the key contact point for SFC in regards to the company’s products / funds in HK and business operations, including obtaining approval for new funds
  • Provide guidance and advice to business heads and senior management on regulatory and compliance controls on the company’s SFC authorized funds
  • Work closely with business heads to provide compliance support and advice on cross-border activities / selling restrictions / requirements
  • Review and approve marketing materials
  • Review and implement compliance monitoring plan and programs to ensure adherence with regulatory requirements
  • Conduct internal training to ensure business units are up to date with regulatory landscape

Requirements

  • University graduate with degree in Law / Finance / Accounting or related disciplines
  • At least 5 years of working experience in compliance within law firms, regulator or asset management industry
  • Solid understanding on HK laws & regulations and knowledge on SFC codes for authorized investment funds
  • Strong analytical and problem solving skills, and able to work independently
  • Effective communication skills
  • Strong command in English and Chinese (including simplified characters)

Interested parties please send your updated resume in WORD format with current and expected salaries (quoting Employer Ref:) to banking@aimHigher.com

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