Position Overview:
The Compliance Manager will take care the compliance framework of the organization, ensuring that all business activities meet regulatory obligations.
Key Responsibilities:
- Develop, implement, and maintain the companys compliance policies and procedures in line with regulatory requirements.
- Monitor regulatory changes and assess their impact on the firms operations.
- Conduct regular compliance audits and risk assessments to ensure adherence to internal policies and external regulations.
- Provide training and support to staff on compliance-related matters, fostering a strong compliance culture.
- Liaise with regulatory authorities, external auditors, and internal stakeholders to facilitate compliance initiatives.
- Prepare and submit necessary regulatory filings and reports in a timely manner.
- Investigate compliance breaches and recommend corrective actions as needed.
- Collaborate with various departments to ensure compliance integration across all business functions.
Qualifications:
- Bachelors degree in Finance, Law, Business Administration, or a related field; advanced degree or professional certifications (e.g., CAMS, ACA) preferred.
- Minimum of 5 years of compliance experience in the financial services industry, preferably within mutual funds or asset management.
- Strong knowledge of relevant regulations and compliance standards in Hong Kong and internationally.
- Excellent analytical skills with the ability to identify compliance risks and develop effective mitigation strategies.
- Strong communication and interpersonal skills to effectively liaise with stakeholders at all levels.
- Ability to work independently and manage multiple projects in a fast-paced environment.