Assistant Compliance Manager (Asset Management Field)

Job responsibilities

• Act as a team member responsible for the matters relating to SFC authorised fund registration, filing and regular reporting, etc. with a compliance experience of investment vehicles in other jurisdiction, such as Cayman Islands, BVI, regarding to FATCA/CRS reporting is an advantage
• Able to independently manage and provide compliance advice on AML and related assignments and issues, e.g. CDD requirements, STR, KYC/AML requirement from both Hong Kong and Cayman Island perspectives
• With experience to support including but not limited to manage general licensing (Annual return, BRMQ and use of WINGS etc.) and ongoing notification matters
• Develops, updates and maintains comprehensive compliance policies and procedures aligned with SFC expectations and the Company’s requirements, and handle inspection and regulatory queries from internal audit team, and regulators
• Assist with client onboarding new clients to ensure information is accurate and in line with KYC/AML policies.

Requirements

• Bachelor's degree or above in Finance, Business, Law, or a related discipline. Qualification as a Hong Kong lawyer is a strong advantage
• At least 3-5 years of asset management or banking compliance experience, with related exposure to internal control, compliance covering asset management products. Preferably supplemented with relevant compliance qualifications
• Solid knowledge of the Stock exchange, SFO and SFC codes and Guidelines. Good knowledge of research, asset management and investment banking products of HK/ China Mainland/ Overseas markets;
• Experience in developing, implementing and monitoring compliance program, including risk assessments, policy enforcement and regulatory reporting
• Strong self-motivation, with the ability to work independently and under pressure
• Excellent interpersonal skills and communication skills (verbal and written). Proficiency in spoken and written English, Chinese and Mandarin

We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply" or by sending it to

(Data collected will be kept strictly confidential and used for recruitment purpose only.)

Guotai Junan International (Stock Code: 1788.HK) is the first Chinese securities company listed on Hong Kong Stock Exchange by way of IPO. Based in Hong Kong, we provide diversified financial services including wealth management, brokerage, corporate finance, loans and financing, asset management and financial products. Through the systematic management and training, you will have the opportunity to maximize your talents on our board platform and empower your future with GTJAI.