Senior Compliance Officer / Assistant Manager - Asset Management (Type 4 & 9) Senior Compliance Officer / Assistant Manager -  …

Funds Partnership Asia
in Hong Kong
Permanent, Full time
Last application, 26 Oct 20
Competitive
Funds Partnership Asia
in Hong Kong
Permanent, Full time
Last application, 26 Oct 20
Competitive
Funds Partnership Asia
A leading asset management firm, backed by one of the largest insurance group in China, is seeking an experienced Senior Compliance Officer/ Assistant Manager to join their growing team

Responsibilities

  • Responsible for setting up compliance controls including general and investment compliance controls
  • Monitor compliance responsibilities
  • Liaise with SFC and regulators on licensing, inquiries and ongoing reporting matters
  • Carry out relevant compliance activities in ensuring compliance with regulatory requirements
  • Provide regulatory updates and compliance advice to business units
  • Perform KYC/ CDD/ AML review and monitoring

Requirements

  • Bachelor degree in Law, Finance, Accounting or related disciplines
  • Minimum of 5 years relevant compliance experience in financial institutions (preferably in securities and asset management firms)
  • Strong knowledge of SFC regulations, AML legislation and other relevant regulatory requirements
  • Hands-on experience in dealing with regulatory bodies and compliance issues
  • Experience in developing compliance framework and policies
  • Proficient in both English and Chinese language

 

Please contact Lyn at lyn@fundspartnership.com for a confidential discussion. Thank you

**All information will be treated with the strictest confidence. We regret to inform you that only short-listed applicants would be notified. Thank you for your understanding **

 

FUNDS PARTNERSHIP (ASIA) PTE. LTD
EA License No.: 15C7420
EA Reg No.: R1328173

Company Overview

Funds Partnership is a global boutique executive search firm specialising in the investment management industry. Due to our clients’ location and language-specific needs, Funds Partnership focuses on 6 core markets: Singapore, Hong Kong, China, Japan, India and Australia – all which have thriving fund ecosystems.

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