Asset Management- Compliance Manager
Salary Medical, Bonus, MPF
Consultant Jaja Wu
Date posted 12 February 2019 2019-02-122019-04-13 financial-services Central Central and Western District HK HKD 40000 60000 60000 MONTH Robert Walters https://www.robertwalters.com.hk
An excellent Compliance job has just arisen at a leading China-focused private fund manager, expanding their business globally, with product and service offerings include RMB products in Mainland China, offshore hedge funds and managed accounts for institutions, managed or advised out of Hong Kong and/or Singapore. The main responsibility is to support COO and Legal Counsel with global business compliance work.
- Provide compliance advice to the firm in areas such as SFC, HKEX, SEC, CFTC, and AMAC licensing, registration, KYC/AML, trading regulations, filing and reporting, firm/individual-level regulatory compliance, etc.
- Handle surveillance of front office (including investment, trading and marketing) activities and enforce compliance policies generally.
- Approve personal account dealing, gift/entertainment and other compliance requests, and maintain appropriate records.
- Monitor and research legal and regulatory developments in relevant jurisdictions (including HK, US, EU, SG) and promptly report internally of implications for the company and the group.
- At least 3 years experience in a compliance role in a bank or investment fund.
- Experience liaising and working with SFC.
- Exposure to and knowledge of other jurisdictions, including EU and/or Chinese regulations/regulators will be a definite asset.
- Fluency in English and Mandarin (speaking and written), strong communication skills.