Asset Management Compliance

We are instructed on an opportunity with a reputable asset manager who are keen to hire a compliance specialist in Hong Kong. This is an exciting opportunity for Compliance Specialists to join the global platform. The role is responsible for providing compliance advisory to fund businesses, identifying rules and regulation updates, establishing effective compliance programs, implementing compliance frameworks and procedures, and overseeing general compliance matters.

Ashford Benjamin Ltd - Hong Kong - Full time

Salary: Competitive

Responsibilities:

  • Responsible for compliance program, policies and procedures
  • Identify, monitor, and communicate regulatory changes trends and proposals to senior management
  • Review marketing materials and products, 
  • Liaise with securities regulators and preparing regulatory enquiries, surveys and inspections
  • Implement compliance controls and tool to address gaps with global compliance framework
  • Provide training for internal staffs

Requirements

  • 4+ years experience in asset management compliance
  • In-depth understanding in SFC type 1,4,9 rules and regulation
  • Fluent Mandarin and English 

 

Apply
19380609

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