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Compliance Officer - asset management

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An asset manager is looking for a compliance officer to join their compliance team.

An asset manager is looking for a compliance officer to join their compliance team.

Responsibilities:

  • Perform AML and KYC review and monitoring;
  • Liaise with regulatory authorities and external counsels on inquiries and ongoing reporting matters for private funds;
  • Monitor staff dealing activities;
  • Handle licensing matters and CPT activities;
  • Stay up to date on regulatory changes, assessing impact and advise management for any implications;
  • Perform and review regular and ad-hoc compliance checking;
  • Provide support on ad-hoc projects and task

Requirements:

  • Bachelor degree in any disciplines, preferably in Law, Accounting, Finance and Business
  • 2 – 3 years working experience in asset management firm with knowledge in SFC and CIMA rules preferred
  • Excellent communication and interpersonal skills
  • Good command of both written and spoken English, Chinese and Mandarin

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Financial Services

Salary: Negotiable

Workplace Type: On-site

Experience Level: Associate

Location: Central and Western District

Job Reference: LRUO4T-30FBF9F5

Date posted: 11 June 2024

Consultant: Jessie Chan

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