Risk & Compliance officer Risk & Compliance officer …

STI Asset Management Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 06 Apr 20
STI Asset Management Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 06 Apr 20
STI Asset Management Limited (“STIAM”) is currently licensed company to carry Type 1 (Dealing in Securities), Type 4 (advising on securities) and Type 9 (asset management) regulated activities in Hong Kong. The company provides wide range of services to professional investors and institutional clients relate to asset management and investment sectors.

Job Description:

  • Provide risk, legal and compliance support to management and business units for the Group;
  • Review documents, business agreement, questions, or situations given, etc. to provide consultative support & management reporting related to risk & compliance;
  • Design & execute the general risk control and monitoring requirements for the Group; 
  • Prepare & execute monitoring & control procedures on relevant business activities;
  • Work closely with Compliance team to perform surveillance exercises according to internal control and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
  • Maintain risk & compliance policies and coordinate with business units to ensure due compliance with regulatory requirements and analyze actual or potential compliance/operation risks involved in businesses / products / systems;
  • Assist daily operations related to risk & compliance;
  • Acquire the necessary license and permission from authorities; 
  • Provide project management support or coordination to COO, RO and Department Head for risk, control & compliance matters; and
  • Any ad hoc assignment as requested by the Group.


Job Requirements:

  • At least 3 years' relevant experience in financial institutions;
  • Experience of risk management, internal control, auditing or related discipline;
  • University degree in Law, Finance, Business, Accounting or related disciplines;
  • Possess relevant experience in legal, compliance, business/investment contract, and good knowledge of regulatory requirements, procedures and guidelines
  • Self-motivated, meticulous, analytical and strong organization skills
  • Good communication skills, good English and Cantonese, both verbal and written
  • Good coordination capabilities and project management skills
  • Positive and support working attitude, multi-tasking and good time management, ability to face pressure, and adapt to a continuously evolving system and work flow environment.

Interested candidates, please apply together with a detailed CV and the following information via email via "Apply Now".

  • Expected salary
  • Current and last salaries
  • Reason for leaving current and past employments