Compliance Senior Manager

Taikang Asset Management (HK) Co., Ltd. (“TKAMCHK") is a 100% subsidiary of TKAMC, now TKAMCHK is looking for professionals who have good understanding of the asset management or financial services industry, and capability of coping effectively with the changing environment to join our rapidly growing team.

Compliance Senior Manager

Job Responsibilities

• Report to the Chief Operations Officer
• Conduct regular compliance reviews and transaction monitoring to ensure adherence to regulatory and internal requirements
• Provide compliance support for product development and management (including SFC-authorized funds and unauthorized products )
• Review marketing materials to ensure compliance with relevant rules and regulations
• Advise on the distribution of products, ensuring adherence to suitability obligations and Professional Investor restrictions
• Monitor changes in applicable rules and regulations, and assist in updating relevant policies and procedures accordingly
• Support the preparation and submission of regulatory filings and returns

Assist in preparing and delivering compliance training

Job Requirements

• Master University degree in Law, Accounting, Business, Finance, or related discipline
• Minimum 5 years of relevant compliance experience in an asset management environment
• Good command of written and spoken English and Chinese (Cantonese/Mandarin)
• Strong knowledge of applicable include the Code of Conduct for Person Licensed by or Registered with the SFC, the Fund Management Code of Conduct, and Guideline on AML and CTF
• A strong team player and able to engage people across all corporate hierarchies
• A quick and enthusiastic learner who can work independently
• A passionate team player who can work under time pressure

Please send your application letter and full resume with available date, current and expected salary to [email protected]

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