Regulatory Compliance Specialist - Asset Management

We are instructed on an opportunity for a middle level regulatory compliance professional covering fund business to join a global platform with exciting growth plan.

Ashford Benjamin Ltd - Hong Kong - Full time

Salary: Competitive

Responsibilities:

  • Provide regulatory advise to Hong Kong licensed entity and APAC fund business and control function
  • Monitor relevant regulatory changes and development
  • Implement related policies and procedures
  • Support new business initiatives and ensure related rules and regulation are identified and followed
  • Handle employee and general compliance work including licensing, personal account dealing, gift and entertainment, CPT, etc

 

Requirements

  • Minimum 5 years of experience in regulatory compliance gained in asset managers 
  • Familiar with SFC type 1,4,9 rules and regulations for fund business
  • Strong communication and presentation skills
     

 

Apply
13366903

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