Asset Management Compliance Specialist

We are partnering with a leading investment management platform who's keen to hire a junior to middle level compliance generalist to join their Hong Hong team.

Ashford Benjamin Ltd - Hong Kong - Full time

Salary: Competitive

Key Responsibilities:

  • Responsible for overseeing compliance and providing advice on asset management business 
  • Review and update the firm's compliance policies and procedures to maintain compliance with SFC requirements and other relevant regulations
  • Stay up-to-date on changes in rules and regulations and industry best practices, and update compliance programs accordingly
  • Compile and submit periodic regulatory reports and filings
  • Collaborate with other control functions, such as legal and internal audit, to ensure a comprehensive compliance framework
  • Review and approve all marketing materials to ensure compliance with regulatory requirements and the firm's branding guidelines

Requirements:

  • 3-8 years of relevant experience in compliance at asset management or financial industry
  • Thorough understanding of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO) and other relevant laws and guidelines
  • Excellent communication and interpersonal skills, with the ability to work collaboratively with various stakeholders

 

Apply
22197526

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