Our client is domiciled in Hong Kong and holds an Asset Management license (SFC 9) regulated by the Securities and Futures Commission of Hong Kong. They are currently seeking an experienced compliance manager who are directly involved with a Type 9 manager preferably with SFC audit experience.
Role & Responsibilities
- Assist in all general compliance responsibilities related to activities licensed with Hong Kong regulator eg. licence application for new representatives, annual declarations, update of compliance registers etc.
- Review and liaise with the relevant stakeholders to implement / adapt to compliance controls and processes are in place to comply with relevant local regulatory requirements
- Assist in regulatory notifications to the relevant regulators including Hong Kong, U.S. etc.
- Review of policy and procedures in alignment to the relevant regulations, guidelines and industry best practices
- Monitoring review of AML/KYC documentation during onboarding and handling of KYC escalation cases during investors onboarding and AML revisit exercises
- Assist in compliance monitoring program and oversight
- Assist in coordinating group compliance training programs
- Participate in ad-hoc task/project as and when required
- Experience with SFC audit preferred
Qualifications
- Minimum 5 years of relevant compliance experience within the financial services industry, preferably in asset managers
- Strong knowledge on regulatory requirements
- Excellent interpersonal and communication skills (written and oral) and the ability to work with stakeholders at all levels;
- Effectively bilingual in English and Chinese
- Attention to detail and independent
- Able to work well under a fast paced boutique environment
- Collaborative, diligent and keen to learn