Regional Compliance Officer- Global Private Equity Firm

Location: Hong Kong
Job Type: Permanent
Reference: 01_260718
Sector: Compliance

Our client, a Global Private Equity Firm is looking for a Regional Compliance Officer with around 2 to 4 years of experience gained from large asset managers/ consultancy firms or regulator in Hong Kong to assist with the performance and documenting money laundering and handling licensing-related requests and queries from SFC.

Responsibilities:

  • Assist with the performance and documenting money laundering and respond to AML inquiries from interested parties
  • Assist in licensing examination and CPT, submitting the FRR file on a monthly basis and register/deregister license applications
  • Handle licensing-related requests and queries from SFC
  • Conduct email surveillance for Asia
  • Act as back up resource for reviewing marketing materials
  • Review gifts and entertainment and outside business activities requests and reports
  • Assist with other compliance program matters and projects as needed

Requirements:

  • Bachelor’s degree, preferably with a concentration in law, business, finance or accounting
  • Knowledge of the Hong Kong SFC codes and guidelines and the SFC rules on Type 1 and Type 9 regulated activities
  • AML compliance experience
  • 2 to 4 years of compliance experience gained from gained from large asset managers/ consultancy firms or regulator in Hong Kong
  • Pro-active, energetic, self-assured professional with high personal integrity and ability to develop good interpersonal relationships with others
  • Outstanding communication skills, both oral and written, fluent in English and Chinese