Inhouse- Compliance Manager/Responsible Officer (HK)

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Cobalt Recruitment
  • 01 Feb 18 2018-02-01

Global leading investment firm; Compliance manager; Responsible Officer.

Our client is one of the global leading investment firm who is in an exciting phase of development and expansion. They are currently looking for a Compliance Manager to head up their team as well as taking up the position of Responsible Officer for their office in Hong Kong.

Key responsibilities include:

  • Monitor and support all functions of a fund management company to ensure compliance with applicable laws, regulations and internal policies
  • Prepare, review and monitor agreements and legal documents relating to sales, trading, corporate and commercial transactions
  • Provide legal advice and solutions to management and departments concerned in supporting daily business activities
  • Review weekly and monthly management accounting reports/financial reporting prepared by accountant

Key requirements include:

  • University degree holder in Law, Finance, Economics, Accounting and related disciplines
  • At least 5 years' relevant compliance experience in Financial Services firms (i.e. Asset Management, Hedge Funds etc.)
  • License holder of SFC Type 1,4 & 9 is preferred
  • Knowledge of Hong Kong SFC codes, licensing rules, guidelines and reporting requirements
  • Excellent command of written and spoken English and Chinese. Fluent Mandarin is mandatory as this person will work closely with mandarin stakeholders in Hong Kong
  • Work independently, able to work under pressure and meet tight deadlines

This company is well-recognized for the work they do and the employees are rewarded for their performances. The role will be perfect for a candidate looking to step up into a leading reputable organization.

License No: 12C6031 / EA Reg. ID R1325169