Regional Compliance- International US Asset Manager
FULL_TIME
Salary Negotiable
Location Hong Kong
FULL_TIMEConsultant Reshma Gope
JobRef 1278840/001
Date posted 22 August 2023
hong-kong banking-financial-services/compliance 2023-08-22 2023-10-21 financial-services Hong Kong HK Robert Walters https://www.robertwalters.com.hk https://www.robertwalters.com.hk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png trueA top tier US asset manager is looking for a senior associate to join the Regional Compliance team in Hong Kong
Primary Responsibilities-
• Handling enquiries regarding applicable regulatory requirements and controls and procedures
• Performing trade surveillance and compliance monitoring work
• Performing sales process review according to the review program
• Investigating issues arising from such work and resolving them independently and promptly in co-operation with compliance team and other relevant staff
• Improving efficiency of monitoring program and enhancing it to address business requirements
• Reviewing marketing materials to ensure that they are in compliance with SFC regulations and company policies
• Handling compliance matters such as PA dealing, Gifts and Hospitality
• Handling licensing matters relating to the company and staff
• Assisting in handling regulatory issues with the regulators in the APAC region
Requirements-
- Degree in Business/Law/related field
- Minimum 4 years of experience working in asset management
- Team player with positive attitude in dealing with teammates and different stakeholders
- Regional experience is highly desirable
- Spoken and written communication skills in English/Cantonese/Mandarin
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