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Compliance Officer / Manager - Family Office

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A prestigious family office dedicated to providing tailored financial services to high-net-worth client are seeking a Compliance Officer/Manager to join our dynamic team.

Job responsibilities:

  • Deal with regulatory inspections, ensuring company adheres to statutes and administrative regulations
  • Prepare for annual internal compliance reviews and mock audits
  • Advise internal management and business partners on the implementation of compliance programs
  • Formulate policies and procedures and updating compliance manuals
  • Responsible for ensuring trades are carried out in accordance with policies, regulations and procedures
  • Manage relationships with regulatory bodies and serving as the primary contact with regulators
  • Prepare and submitting annual and quarterly regulatory filings
  • Manage licensing matters and regulatory filings
  • Manage KYC & AML process for the firm
  • Manage and maintain internal audit program

Job requirements:

  • 5 years of demonstrated experience in a compliance role within the hedge fund or broader asset management industry
  • In-depth knowledge of Hong Kong's financial regulations, including the Securities and Futures Ordinance
  • Detail minded with strong analytical skills
  • Strong verbal and written communication, presentation and interpersonal skills

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Financial Services

Industry: Financial Services

Salary: Negotiable

Workplace Type: On-site

Experience Level: Mid Management

Location: Central and Western District

Job Reference: 9RSYYG-4BB9C101

Date posted: 07 October 2024

Consultant: Jessie Chan

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