Compliance Manager - with PE, China products and FATCA exposure Compliance Manager - with PE, China products and  …

Captiare Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitve
Captiare Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitve
Compliance Manager - with Private Equity and Public Fund experiences, China products exposure and familiar with FATCA

JOB DESCRIPTIONS:

  • Advise and carry out compliance issues especially for Type 9 activities focusing on asset management
  • Responsible of all licensing issues and ensure companies implements adequate internal control procedures & manuals are complied with regulatory requirements
  • Act as main point of contact with regulators, legal counsels and consultants and liase with regulatory bodies and auditors, e.g. SFC
  • Handle FATCA related issues
  • Monitor compliance controls of the company and carry out proper actions for improvement
  • Ensure company policies, internal control procedures & manuals are complied with regulatory requirements
  • Provide compliance input and documentation on new products and systems
  • Maintain regulatory relationships: assess, measure and report on compliance related risks; monitor and test the adequacy of the firm’s compliance control environment and to develop policies and controls
  • Monitor and investigate into any suspicious transactions reports by internal and external customers
  • Provide staffs with relevant information, publications and training on compliance matters to maintain compliance awareness

 

REQUIREMENTS:

  • University degree preferably in law, finance, accounting or related disciplines
  • Minimum 5 years of compliance experience in reputable financial institutions with good knowledge in securities laws, operations, products and services
  • Knowledgeable in SFC regulations and guidelines
  • Experience in liaising with SFC
  • Familiar with HK legal and regulatory requirements on asset management in an advantage
  • Detail-oriented, mature and able to work independently
  • Fluency in written and spoken English, Cantonese and Mandarin
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