Compliance manager - asset management Compliance manager - asset management …

Lake Street Executive Search
in Hong Kong
Permanent, Full time
Last application, 22 Nov 20
competitive
Lake Street Executive Search
in Hong Kong
Permanent, Full time
Last application, 22 Nov 20
competitive
Our Client is a well-known Chinese asset management firm, and now they are looking for a compliance manager/senior manager to join their firm

Responsibilities

  • Overall supervision of compliance of all business activities
  • Overall identification of compliance risks of all business activities, including asset management and brokerage
  • Make recommendations concerning safeguard of compliance risks
  • Assist company in new products and businesses development, giving compliance advice
  • Maintain good relationship and communicate with regulatory bodies, including SFC and HKEX, etc.
  • Review all kinds of regular compliance reviews performed by department staff

Responsibilities

  • Bachelor degree in Finance/ Law/ Accounting or related discipline(s) with a minimum of 3 years legal and compliance experience in a sizable financial institutional and/or regulatory body
  • Preferred have asset managemetn (Type 4,9) compliance experience
  • Well-experienced gained in fund management with rich knowledge in securities laws, operations, products and services, and a sound understanding of current trends in asset management
  • Ability to work effectively in a highly confidential, fast-paced environment with fluctuating priorities and deadlines
  • Mandarin and English is a must, Cantonese is a plus
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