Asset Management Compliance

Location: Hong Kong
Job Type: Permanent
Reference: 02_121218
Sector: Compliance

Our client is an investment manager with over USDAUM2bil. They’re looking for a Compliance Associate to help enhance and oversee the compliance framework to prevent violations of regulations and internal policies.

Responsibilities:

  • Developing and enhancing compliance related policies and procedures as well as proper internal control to ensure that company's activities (SFC regulated Type 1,4,9) are following the latest statutory and regulatory requirements
  • Prevention of AML, KYC & Client Onboarding, Anti-Bribery and Corruption, Conflicts of Interest, Market Abuse and Personal Dealing, Gifts, Benefits and Entertainment
  • Handling client’s complaints and handling regulators’ enquiries and investigations etc.

Requirements:

  • Minimum 3 years compliance experience gained in an asset management/ consulting firm
  • Experience in handling SFC Type 1, 4, 9 regulated activities