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JOB DETAILS

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Regional Compliance- International US Asset Manager

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FULL_TIME

Salary Negotiable

Location Hong Kong

FULL_TIME

Consultant 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 true

A 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

Get in touch

contactConsultantImage

Reshma Gope

+852 21619414

reshma.gope@robertwalters.com.hk

1673704 1673704 1673704
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