This is a newly created role to oversee the investment compliance with the Asset Management side of the business, shaping the growing team and working with the senior management to be able to ensure the correct guidelines and regulations as well as internal framework are adhered to.
My client is a US business with various arms and over $700 millionUSD globally under management. Their asset management arm is a growing business in Asia and the forefront of expansion for them.
- Ensure that the business operates in compliance with applicable laws and regulations in relation to SFC and MPFA;
- Establish, implement and monitor compliance policies, procedures and practices;
- Review, enhance and advise on the compliance frameworks/policies of the business activities and initiatives;
- Design, implement and review compliance program, internal controls and internal work process to identify, assess, report and mitigate compliance risks in a proactive manner;
- Conduct reviews on and responding to enquiries from the regulating bodies;
- Formulate and conduct compliance training to staff;
- Keep abreast of regulatory updates and accommodate the relevant regulatory changes in a timely and prudent manner
- Perform periodic monitoring/ surveillance according to relevant regulations and internal policies.
- Monitor the activities of investment managers and investment delegates by setting, reviewing relevant indicators and reports
- Provide supports and perform other investment related duties and special projects as required from time to time.
- Degree holder in Law, Business, Finance, Accounting or related disciplines
Job related experience required:
- Minimum 4 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.
Competencies and Soft skills required:
- 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
A competitive package is on offer and a great opportunity to shape the new team in the Hong Kong Asia hub
To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Nicholas Debbage on +852 2848 9525