Our clients, Top Tier Asset Management, are currently looking for high caliber candidates to join their expanding team.
- Assist the Department Head to provide legal and compliance advice and support to Management and different business units to ensure all transaction and operation in compliance with internal policies and external regulation;
- Develop, formulate, execute and update effective and appropriate internal controls and compliance policies and procedures to ensure they meet the requirement of latest regulatory requirement;
- Conduct regular compliance review to ensure the business operations and processes are full compliance with internal policies and external regulatory requirements inclusive but not limited to inspection of new accounts details, due diligence on new customers, transactions documents and phone recordings, risk assessment on AML matters, etc.
- Handle all licensing matters for all licensed corporation and representatives, inclusive of license application and movement, CPT records and enquiry from SFC for all licensing matters;
- Coordinate, communicate and liaise with regulators on enquiries, reporting, inspection and/or investigation;
- Assist to organize and conduct internal trainings on all compliance issues to enhance the compliance consciousness of all staff levels;
- Handle other ad hoc assignment as required by Management.
- Review, enhance and develop the compliance programs, procedures and guidelines for the respective business unit;
- Bachelor degree or above in Law, Finance, Accounting or related discipline;
- Minimum 3 to 5 years relevant experience in legal and compliance department of financial sector, especially in brokerage, asset management and corporate finance industry is preferred.
- Sound knowledge in relevant ordinances, such as SFO, Company Ordinance, Anti-Money Laundering relevant ordinances and Prevention of Bribery Ordinance, etc.
- Familiar with licensing requirements of SFC.
- Solid experience in handling compliance issues on different financial products in brokerage, asset management and corporate finance.
- Proficiency in Computer skills such as MS office including Word, Excel, Chinese Word processing
- Excellent command of written and spoken English and Chinese, proficiency in Mandarin;
- Analytical, proactive, self-motivated, independent, strong interpersonal skills with good sense of responsibility,