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