Senior Compliance Manager, Asset Management
Our client is an expanding Chinese Asset Management firm with a solid senior management team in Hong Kong. As part of continued growth, an outstanding opportunity has arisen for an experienced Compliance Lead to join the firm, based in Hong Kong.
Being the Lead in Compliance, you will have full responsibilities in managing the firms compliance, controls and regulatory matters. You will maintain an effective compliance and control system, review and improve compliance procedures and controls in place, develop policies and processes to comply with new and changing regulations and rules, provide compliance advice to the business and on products. In addition, you will handle all license matters for the company and staff, administrate statutory records, draft / review agreements / correspondences, liaise with regulators, respond to regulatory inquiries, perform regular compliance reviews and identify compliance risks. You will also conduct compliance training to staff regularly and take on relevant projects related to compliance.
To qualify, individuals must possess:
- A university degree and ideally with studies in law
- Minimum 8 - 10 years relevant compliance or legal experience gained from Asset Management and / or Securities Brokerages with Type 1, 4, 9 licenses.
- Good knowledge of SFO and familiar with SFC regulations and requirements and SFC filing
- Ability to work independently and be part of a team
- Excellent communication skills with fluency in English and Mandarin Chinese
Contact Amy Ho (852) 3101 3066 or click APPLY NOW button quoting reference number AH 223200. www.ambition.com.hk Data provided is for recruitment purposes only.