Risk and Compliance Specialist

  • Market Rate
  • Hong Kong
  • Permanent, Full time
  • PeopleSearch
  • 29 Mar 17

Our client, an US Asset Management Company, is looking for high caliber professional to join their Pan Asia Risk and Compliance team. Incumbent will have the opportunity of working closely with the senior management team to facilitate the growth of the business in the region.


  • Develop and maintain risk-based Compliance Monitoring Programs, and conduct periodic compliance monitoring in accordance with established procedures
  • Review and approve marketing materials/RFPs (English and/or Chinese), gifts and entertainment, sponsorship and events requests to ensure they are in compliance with regulatory requirements as well as global/Pan Asia policies and procedures.
  • Conduct staff licensing reviews and applications
  • Perform AML review and account opening procedures
  • Maintain regional policies and procedures including Compliance Manuals
  • Prepare Compliance and Operational Risk reporting for various boards and committees
  • Conduct risk and control self-assessment for the region
  • Work closely with the global Risk and Compliance teams
  • Prepare regulatory reports/notifications and related administrative responsibilities following established procedures
  • Conduct Compliance inductions/trainings
  • Conduct research and prepare documentation in response to customer inquiries
  • Act as a back-up for conducting pre and post trade investment compliance for Pan Asia
  • Review and investigate into compliance breaches and operational incidents; and communicate potential compliance and risk issues to management and/or senior level staff as appropriate
  • Lead or provide support to regional Compliance projects



  • Bachelor’s degree in Accounting/Finance/Law/Economics; or equivalent experience required
  • At least five years’ experience in the asset management/financial services industry
  • Working knowledge and understanding of applicable rules and regulations of Hong Kong Knowledge of regulations in Taiwan and Mainland China will be a plus
  • Working knowledge and understanding of the processes and controls pertaining to asset managers
  • Good product knowledge including mutual funds, equities, fixed income, and derivatives
  • Good communication skills (both written and verbal), relationship management skill and ability to deal confidently with all levels of staff
  • Effective analytical skills, including the ability to accumulate, organize, and assimilate large amounts of information
  • Strong attention to detail and accuracy
  • Ability to manage multiple tasks simultaneously, and work under pressure
  • Good planning, organizational and time management skills
  • Committed team player
  • Strong computer skills, including Microsoft Word, Powerpoint and Excel


Interested Applicants please send your full resume (in Word format) together with present and expected salary to Maggie Zuo:


Tel: (852) 2521-5118 ext.830 or 6377-1281

Email: maggiezuo@pplesearch.com


**Only shortlisted candidates will be contacted for a more detailed discussion**