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Legal and Compliance Manager

ICBC Asset Management (Global) Hong Kong
Posted 2 days ago Permanent Competitive
1) Top-tier Chinese asset management firm 2) With 3 years relevant experience 3) Develop and execute a risk-based annual compliance review plan, compliance review program and and internal audit plan for the company

Responsibilities:

  • Develop and execute a risk-based annual compliance review plan, compliance review program and and internal audit plan for the company, considering regulatory requirements, industry best practices, and emerging risks;
  • Conduct compliance reviews, monitor and report on compliance issues and trends;
  • Conduct comprehensive internal audits of the company's operations, processes, and controls to review and evaluate the effectiveness of internal control systems, risk management practices, and governance processes and to identify control weaknesses and recommend improvements;
  • Prepare compliance review reports to highlight exceptions and provide recommendations for ongoing improvement of the company's operations as well as to present audit findings, recommendations, and reports to senior management ;
  • Monitor and track the implementation of relevant recommendations and ensure timely resolution of identified issues;
  • Collaborate with different functions to ensure alignment and coordination of compliance review and internal audit activities;
  • Carry out special investigations/inspections at the request of the head office or per senior management’s request;
  • Continuously improve the compliance review and internal audit function by implementing best practices, enhancing audit methodologies, and leveraging technology tools etc; and
  • Perform ad-hoc tasks assigned from time to time.

Requirements:

  • Bachelor's Degree holder or above in Business Administration, Accounting, Risk Management, Law or related disciplines (Candidate from other disciplines may be considered if practical experience is possessed);
  • With at least 3 years of experience in areas related to Audit, Compliance or Control functions (Candidate with less experience will be considered as Assistant Manager);
  • Fair knowledge of compliance, AML and local regulations;
  • Basic understanding of compliance review and/or audit standard and methodology;
  • Good report writing, analytical and interpersonal skills;
  • Responsible, proactive, detailed-mind, good self-disciplined and well-organized with good communication skills;
  • High computer literacy i.e. Word, Excel, PPT, etc.;
  • Good command in written and spoken English and Chinese including Putonghua.

Please click "Apply Now" to submit your application with CV attached stating both the existing and expected salary. Personal data collected will be used for recruitment purposes only.

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