Job Description :

• Establish, implement and monitor compliance policies, procedures
• Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties
• Acting as the Manager-in-charge of Compliance, Risk Management and AML functions
• Formulate, review and update the operational procedures to ensure full regulatory compliance for internal & external audits and regulatory inspections
• Supervise fulfilment of SFC license holders’ requirements of CPT training
• Pre-trade Risk Control & Post-trade Compliance Monitoring
• Assist in Product Design and Business Development
• Regulatory reporting & Compliance updating 

Requirement :

• Minimum 5-8 years of solid experience in buy-side asset managers in capacity of compliance roles
• Having sound knowledge of SFO and SFC codes & guidelines, CRS regulations and guidelines of relevant regulatory authorities and risk management control.
• A holder of bachelor degree or above in Law, Finance, Accounting, Business or related discipline(s)
• Excellent command in both written & spoken English, Cantonese & Mandarin

Interested candidate please send full resume, including date of availability, present and expected salary by clicking "Apply Now".

All data collected would be used for recruitment purpose only. Applicants who do not hear from us with 10 weeks may consider their application unsuccessful and their data will be destroyed within 12 months.