Compliance Manager (12-month contract and permanent headcount)

Location: Hong Kong, Hong Kong
Job Type: Contract
Reference: 73195_1556534088
Sector: Compliance

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; and
  • Hands on, result-driven, ability to adapt to a fast pace environment and willing to assume responsibility.