Compliance Officer, Asset Manager

A global financial services firm is looking for a Compliance Officer for their asset management business
 

Roles and Responsibilities-

• Advising the Asset Management business on regulatory compliance, risk identification, mitigation, and all regulatory matters
• Ensuring compliance and operational risk controls are well in place and that policies/procedures reflect regulatory requirements
• Handle all communication with the local regulator such as the SFC
• Deputizing for the Head of Compliance in Committee and Board Meetings as well as representation at various associations
• Training the firm on Compliance initiatives and changes

Requirements-

Your expertise
• Minimum 6 years compliance experience with asset managers/securities houses
• Strong understanding of the SFC requirements
• Proven track record in compliance and operational risk control, with a focus on and/or experience working in asset management
• Effective communication skills, both written and spoken English/Cantonese
• Strong stakeholder management skills