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Compliance Specialist(Manager to Director), a Top-Tier Asset Management Firm/Fund House

Cornerstone Global Partners Hong Kong
Posted 3 days ago Permanent HK$45k - HK$70k
K
Posted by
K Chan
Recruiter

Our client, a Top-Tier Asset Management Firm/ Fund House, is now looking for a Compliance Specialist (Manager to Director) to join them.

Responsibilities:

  • Handle general and investment compliance and ensuring that the business adheres to relevant legal and regulatory requirements
  • Provide professional advice to senior management on statutory compliance, practical matters and identifying any associated business risks and liabilities.
  • Perform periodic Compliance monitoring and reviews on various business activities
  • Provide relevant Compliance training on various subject matters.
  • Handle various other matters, including but not limited to SFC inspections, SFC inquiries & investigations.
  • Manage license applications and CPT requirements in relation to the Asset Management business, and respond to any inquiries from regulators on such matters.
  • Perform and co-ordinate fund-related Compliance controls by working closely with the Risk Department and Trustee and reporting fund investment and management activities as appropriate.


Requirements:

  • Bachelor degree in Law, Accounting, Business or a related discipline
  • Minimum 6 years of relevant compliance experience with financial institutions and/or regulatory bodies
  • Relevant experience in fund management operations, products and services
  • Good command of written and spoken English and Chinese with fluency in Mandarin and knowledge of simplified Chinese a plus
  • Self-motivated, detail-oriented, tactful when dealing with all levels of staff, excellent interpersonal and communication skills, able to work independently and under pressure.
  • Will offer more or less senior grade depends on the candidate's profile
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