Compliance Manager in Asset Management Firm

Key Responsibilities:

• Develop and review compliance program and perform internal investigation
• Develop, update and review policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
• Review legal documents
• Handle enquiries from regulators and external parties e.g. SFC
• Handle licensing matters, notification, annual return, FRR, survey and other ad hoc reports as required by the regulators
• Develop training materials and coordinate compliance
• Handle ad hoc tasks as assigned

Requirements:

• Degree holder in business, finance, accounting or related disciplines
• 3-5 years of relevant experience in asset management firms with SFC Type 4,9 licenses
• Sound knowledge of the SFO and other relevant codes and regulations 
• Good knowledge in AML/KYC and back/middle office operation is preferential
• Fluent in English and Chinese (Proficiency in Mandarin will be an advantage)
• Good team player and self-motivated with strong sense of responsibility, organizational and problem-solving skills
• Self-motivated, independent with strong communication skills
• Professional presentation and report writing skills

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