Overseas Asset Management Compliance Position

Responsibilities: Compliance System Establishment and Improvement: Responsible for establishing and improving the compliance management system of the overseas asset management company, ensuring that the company's internal management systems, investment decision-making processes, and business operation processes are legal and compliant. For example, formulate and optimize compliance-related management systems, strategies, and processes, and update compliance systems in a timely manner to meet reg

- Hong Kong - Full time

Salary: HK$50k - HK$100k

Responsibilities:
  1. Compliance System Establishment and Improvement: Responsible for establishing and improving the compliance management system of the overseas asset management company, ensuring that the company's internal management systems, investment decision-making processes, and business operation processes are legal and compliant. For example, formulate and optimize compliance-related management systems, strategies, and processes, and update compliance systems in a timely manner to meet regulatory and client compliance requirements.
  2. Compliance Review and Risk Assessment: Conduct compliance reviews, risk identification, assessment, and response for the company's major decisions, new products, and new business plans. Review the compliance of proposed investment projects and contracts signed by the company with other parties to ensure compliance with laws and regulations and internal company regulations.
  3. Regulatory Policy Tracking and Interpretation: Continuously monitor changes in international regulatory policies, timely research and interpret relevant laws, regulations, and policies, assess their impact on the company's business, and provide corresponding management suggestions. For example, track and study new legal and regulatory dynamics, providing legal training and consulting services to various internal departments of the company.
  4. Internal Supervision and Inspection: Independently perform checks, evaluations, reporting, and advisory functions on the implementation of internal control systems to ensure that the company's operations comply with company policies and other compliance regulations. Organize regular or irregular internal inspections to conduct compliance reviews and monitoring of various business operations, preventing operational risks.
  5. Compliance Culture Building: Cultivate the company's compliance culture and comprehensive risk management philosophy, organize compliance training to enhance employees' compliance awareness. For example, regularly organize employee training on professional ethics and practice norms, and conduct training and advocacy activities on compliance management and risk management.
  6. Assist in Regulatory and External Communication: Actively cooperate with relevant regulatory agencies during inspections and inquiries, and organize the company to report and file matters with local regulatory authorities according to regulatory requirements. Additionally, may need to assist in handling related matters with external legal institutions.
Qualifications:
  1. Professional Background: Generally requires a bachelor's degree or above, preferably in law, finance, economics, or related fields.
  2. Work Experience: Must have rich compliance work experience in the financial industry, with over 10 years of work experience. Preferably have overseas work experience or be familiar with compliance regulatory policies for overseas asset management business.
  3. Skills and Qualities: Strong communication and coordination skills, analytical problem-solving abilities, honesty, integrity, and a strong sense of responsibility.
  4. Adapting to Complex Regulatory Environments: Overseas asset management business involves laws and regulations from multiple countries and regions, with a complex and changing regulatory environment; the compliance director needs to continuously learn and adapt to new regulatory requirements.
  5. Balancing Business and Compliance: Support the company's business development while ensuring compliance.
  6. Team Management and Collaboration: Excellent ability to coordinate and collaborate across departments.
Apply
23300510

OTHER ASIAXPAT SITES:

Ad