Overview

Our client is a leading financial services firm, principally engaged in the provision of a wide range of financial services including brokerage, corporate financing, asset management, private equity, global commodities and futures. They are hiring high caliber talents to help develop and take part in the growth of their business.

Responsibilities:

  • Provide day-to-day advice to asset management department and other business units, and support on full spectrum of compliance functions, including but not limited to implementation of compliance policy, procedures and other compliance controls, etc. to ensure that Company’s activities are in compliance with latest statutory and regulatory requirements
  • Assist asset management department and other business units in understanding and addressing all applicable laws and regulations
  • Monitor internal controls, review and establish compliance policies & procedures to meet with regulatory requirement and make recommendation on existing policies and procedures for enhancement
  • Assist the team to conduct regular and ad hoc compliance monitoring procedures
  • Handle enquiries and requests from the regulators
  • Assist in tracking regulatory changes and ensure related business units are well informed
  • Assist in ad hoc projects as assigned.

Job Requirements:

  • Bachelor degree in finance, accounting or related disciplines
  • A minimum of 3 years of relevant compliance experience in asset management companies or reputable financial institutions
  • Good knowledge of SFC regulations, other relevant regulations and financial products
  • Responsible, detailed-mind, well-organized with good communication skills
  • Good command of both spoken and written English, Chinese (both Cantonese and Mandarin).

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