Investment Compliance Manager Investment Compliance Manager …

Morgan McKinley
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 30 Mar 20
Negotiable
Morgan McKinley
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 30 Mar 20
Negotiable
They are looking for a investment compliance manager to join the team as the first line of defense to strengthen the control framework of the company. They open candidates from the other pension providers/asset management or someone with strong SFC regulatory knowledge. They offer excellent career development and remuneration package to the right candidate.

Job Responsibilities:

· To ensure the business operates in compliance with applicable laws and regulations in relation to SFC and MPFA;

· To establish, implement and monitor compliance policies, procedures and practices;

· To review, enhance and advise on the compliance frameworks/policies of the business activities and initiatives;

· To design, implement and review compliance program, internal controls and internal work process to identify, assess, report and mitigate compliance risks;

· To conduct compliance reviews on and responding to enquiries from the regulating bodies;

· To formulate and conduct compliance training to staff and work closely with second line of defense;

· To keep abreast of regulatory updates and accommodate the relevant regulatory changes;

· To perform periodic monitoring/ surveillance according to relevant regulations and internal policies.

· To monitor the activities of investment managers and investment delegates by setting, reviewing relevant indicators and reports

· To provide supports and perform other investment related duties and special projects as required from time to time.


Job Requirement:

· Degree holder in Law, Business, Finance, Accounting or related disciplines

· Minimum 5 years of relevant compliance experience gained within asset management, investment and/or pension industry

· Well-versed in SFO codes and other regulatory requirements, e.g. AML/CFT, FATCA and CRS.

· Attentive to details, strong analytical and problem-solving skills.

· Self-motivated, well-organized, able to work under pressure and multi-tasks with tight deadlines

· Excellent communication and interpersonal skills

Job Requirement:

· Degree holder in Law, Business, Finance, Accounting or related disciplines

· Minimum 5 years of relevant compliance experience gained within asset management, investment and/or pension industry

· Well-versed in SFO codes and other regulatory requirements, e.g. AML/CFT, FATCA and CRS.

· Attentive to details, strong analytical and problem-solving skills.

· Self-motivated, well-organized, able to work under pressure and multi-tasks with tight deadlines

· Excellent communication and interpersonal skills

· Proficiency in both written and spoken English and Chinese

Close
Loading...