Compliance Manager (12-month contract and permanent headcount)

Job Title: Compliance Manager (12-month contract and permanent headcount)
Contract Type: Permanent
Location: Hong Kong
Reference: 01_220519
Contact Name: Gina Hui
Contact Email:
Job Published: May 22, 2019 18:19

Job Description

Responsibilities of the Role:

  • Review local, regional or global sales and marketing materials on a variety of products and services according to global and local standards
  • Handle SFC licensing and regulatory filings, including licensed representative application or RO applications and routine SFC regulatory filings
  • Perform AML/KYC review and regular screening and on-going monitoring review
  • Conduct and execute the risk-based compliance monitoring program for the region and perform management reporting

Requirements of the Role:

  • Degree holder in Law or Accounting preferred
  • A minimum of 6- 8 years' experience in compliance gained from sizable financial institutions including asset management companies
  • Relevant compliance experience in asset management such as Distribution Advisory (retail and institutional), marketing compliance, AML etc
  • Good command of written and spoken English and Mandarin is advantageous
  • Good communication and interpersonal skills
  • Independent, high accuracy, strong self-initiative, and a good team player
  • Hands-on, result-driven, ability to adapt to a fast paced environment and willing to assume responsibility

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