Duties & Responsibilities:
- Provide support in various compliance functions to ensure full compliance with regulatory requirements.
- Interact with internal & external parties to respond to any compliance related queries that may arise.
- Manage KYC and AML onboardings and refreshes with vendors and counterparties.
- Maintain and review company’s policies, procedures, and practices to ensure compliance with applicable laws and regulations.
- Conduct Code of Ethics related compliance reviews and monitor business activities in accordance with regulatory and internal requirements.
- Perform ad-hoc assignments as required.
- Hold a degree or professional qualification in Legal, Economics, Finance, Accounting or related disciplines.
- Around 5 years’ compliance experience in finance industry, preferably in SFC regulated institutions.
- Working knowledge of securities laws and regulations in Hong Kong, with a good understanding of business compliance tasks including KYC, AML, third party due diligence tasks and licensing applications, etc.
- Experience with Bloomberg, EzeSoft, Wind, or other OMS/Candidate with experience in OMS systems is desirable but not a must.
- Proficiency in MS Office applications and English and Chinese word processing.
- A good team player, mature, responsible, detail minded, with the ability to handle multiple tasks independently under pressure.
- Prior experiences in investment compliance will be a plus.
- Good communication and organization skills.
- Good command in written and spoken English and Chinese.