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about the company.

Our client is a growing fintech firm in Asia.

about the job.

As Compliance Officer 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.

Compliance Manager, Fintech

Compliance Manager, Fintech

Compliance Manager, Fintech

Bachelor Degree