compliance manager, asset management in Hong Kong

posted
contact
nicole hui, randstad hong kong
job type
permanent
salary
HK$ 50,000 - HK$ 70,000 per year

job details

posted
location
hong kong
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 50,000 - HK$ 70,000 per year
reference number
91M0153827_1617476674
contact
nicole hui, randstad hong kong
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job description

about the company.

Our client is a growing fintech firm in Asia.


about the job.
  • As Compliance Manager of the company, develop and roll out new regulatory
    policies and procedures (e.g. AML/CFT, transaction monitoring) and identify
    gaps in existing ones to ensure compliance with applicable law.
  • Advise on the setup of new funds and review fund documentation.
  • Review, advise and approve new products and new business initiatives.
  • Responsible for internal/external compliance and regulatory and AML matters including preparation of compliance reports, answering audit’s enquiries, completing SFC’s surveys, etc.
  • Update compliance policies and procedures, and provide compliance training to the asset management business.
  • Review marketing and publication materials for fund business.
  • Advise on requirements related to fund raising including private placement regime, professional investor requirements, and suitability assessment, etc.
skills & experiences required.
  • 4 to 6 years relevant working experience in the compliance field.
  • Familiar with SFC rules (SFC type 1,4,9)and regulations, including the Fund Manager Code of Conduct
  • Familiar with retail fund structures.
  • A detail oriented and a self-started person.
  • Good interpersonal and communication skills.
  • Excellent command of written and spoken English and Chinese (including Putonghua).
Interested parties please call 22323421 (Nicole.hui@randstad.com.hk) to discuss.

skills

Compliance Manager, Asset Management

qualification

Compliance Manager, Asset Management

responsibilities

Compliance Manager, Asset Management

educational requirements

Bachelor Degree