Senior Compliance Manager - Asset Managment
- Hong Kong
- Permanent, Full time
- Stirling Andersen HK
- 21 Oct 18
My client, who is an asset mangement player with office in Hong Kong , is seeking a right talent to their compliance team
- Handle regulators enquiries, client complaints and matters in relation to license/ registration with regulators (e.g. SFC, HKMA, HKEx etc.).
- Provide strategic advice to management regarding the appropriate control environment, and technical regulatory advice as required in connection with the regulatory aspects of specific transactions, existing services and proposed new services.
- Develop, initiate, maintain and revise policies and procedures for the general operation of the compliance program and its related activities to prevent illegal, unethical, or improper conduct. Manage day-to-day operation of the compliance program.
- Formulate and update KYC/ AML policies and procedures considering the latest regulatory requirements and market practices.
- Provide advice to frontline and other relevant units on KYC/ AML related matters.
- Coordinate and manage assigned KYC/ AML projects.
- Degree holder in Law, Finance, Accounting, Business or related discipline(s).
- Minimum 6 years’ experience of financial compliance obtained.
- Well versed with Company Ordinances, Securities and Futures Ordinances and other statutory and regulatory requirements on KYC, AML and good knowledge in financial products and commercial practices in SFC regulated activities, insurance broker money lenders business. Solid brokerage, compliance experience is expected.
- Excellent supervisory, analytical, organizational and leadership ability
- Excellent command of spoken and written Cantonese, English and Mandarin