compliance associate - asset management in Hong Kong

posted
contact
gladys chan, randstad hong kong
job type
permanent
salary
HK$ 40,000 - HK$ 45,000 per month

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 40,000 - HK$ 45,000 per month
reference number
91M0140498_1578485814
contact
gladys chan, randstad hong kong
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job description

RESPONSIBILITIES

  • Provide compliance advisory support in addressing latest local regulatory requirements and daily operational issues
  • Investigate complaints and operational errors and recommend risk-mitigating actions to prevent re-occurrence
  • Interact with regulators and handle regulatory enquiries, surveys and reports
  • Conduct routine monitoring and assist other monitoring teams to harmonize testing procedures to reinforce Global Standards
  • Prepare summaries of regulatory consultation papers and conduct impact analysis on regulatory updates
  • Supervise regulatory licensing matters where necessary


QUALIFICATIONS

  • A minimum of 4 years relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities
  • Good product specific knowledge, including unit trusts, mutual funds, MPF products, UCITS, alternative investments, ETF, derivatives, etc

skills

no additional skills required

qualification

no additional qualifications required

educational requirements

Bachelor Degree