Assistant Manager/ Manager

Job Requirements:

• Assist to set out/update the policies and procedures for adherence to legal and regulatory requirements in the jurisdiction(s) where the corporation operates;
• Monitor the licensed corporation’s compliance with the established policies and procedures;
• Report on compliance matters to senior management;
• Review offering documents and marketing materials;
• Review AML/KYC documents;
• Monitor investment compliance;
• Review agreements and offering documents from compliance perspective;
• Review and submit regulatory reports;
• Monitor staff dealing records;
• Handle staff licensing or registration from the SFC and MPFA;
• Handle general enquiries from the regulators and trustee.

Requirements:

• 5 years’ of relevant compliance experience gained at financial institutions and with experience in dealing with the SFC and MPFA; Or at least 3 years’ experience working at a government regulatory body. 
• University degree in Law, Finance or other related disciplines.
• Excellent command of written and spoken English and Chinese including Putonghua,
• Strong analytical and problem solving skills.
• Strong knowledge in SFC and MPFA rules and regulatory developments.
• Able to communicate tactfully with all levels of management.
• Good initiative and with strong sense of responsibility.

 

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