Regulatory Compliance (AM/M) Regulatory Compliance (AM/M) …

TalentQuest HR Limited
in Hong Kong
Permanent, Full time
Last application, 30 Oct 20
negotiable
TalentQuest HR Limited
in Hong Kong
Permanent, Full time
Last application, 30 Oct 20
negotiable
We are helping a reputable Chinese Asset Management Firm to look for a Regulatory Compliance Manager, to report to Head of Compliance

Job Responsibilities

•      Handle all compliance business related to SFC Type 1, 4, 9 regulated activities

•      Assist with the regulatory and compliance matters in Hong Kong

•      Ensure all company procedures and activities are in compliance with regulatory standards

•      Develop, maintain and enhance compliance controls, monitoring and supervisory framework including policies and plans

•      Handle regulation institutions with their investigations, inspections and inquiries

 

Requirements

•      Bachelor degree holde

•      5+ years working experience in securities firm / asset management firm

•      With experience in handling SFC Type 1, 4, 9 regulated activities & licensing

•      Familiar with SFC and SFO requirements

•      Fluent in Chinese and English

 

*Candidate with less experience will be considered as AM

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