Our client, a leading Financial Institution in Hong Kong is looking for an experience Senior Asset Management Compliance Officer to assist in developing, implementing, monitoring and testing of the regulatory and compliance program of the Assets Management business and also to ensure that the rules, policies and regulations are properly followed.
- Review and enhance the existing policies and procedures to ensure a robust, current and high quality compliance control program for supporting the business growth
- Develop, implement, and monitor compliance program for new business
- Perform monitoring over business processes and controls, and surveillance on the staff’s personal dealing and company’s trading activities to identify any potential insider trading and breach of Chinese-Wall policies.
- Provide AML/KYC advisory and operational support
- Identify compliance gaps and recommend necessary changes to procedures to ensure adherence to regulatory and firm requirements
- Review, draft and implement compliance policies and procedures
- Develop and provide compliance training
- Handle regulatory reporting, inquiries, investigation, inspections, corporate licensing related matters and ad-hoc projects
- Minimum five years compliance experience, or experience in corporate functions covering Assets Management business, e.g. Internal Audit or Risk covering Compliance and securities business
- Strong communication skills and abilities in analytical thinking, problem solving, research, and time management
- Fluent English and Mandarin and able to write quality Chinese
- Experience of hedge funds or regulators a strong plus