Our client, a reputable Investment Group with both public and private assests is looking for a high caliber to join as Manager for their compliance team. This incumbent will be reported to the Head of Compliance directly:
- Supporting the business conducted within the APAC region in remaining compliant with relevant laws and regulations. Act as a contact point for questions related to regulatory matters.
- Driving the identification, assessment and mitigation of compliance risks by designing, enhancing and advising on compliance program, internal controls and internal work process.
- Establish, review and enhance on the compliance frameworks/policies of the business activities and initiatives in the APAC region. Advising business to implement the compliance frameworks/policies.
- Work closely with business heads to provide compliance support and advice on cross-border activities / selling restrictions / requirements
- Review and implement compliance monitoring plan and programs to ensure adherence with regulatory requirements.
- Liaising with regulators (e.g. SFC and CIMA etc.). Handling notifications and enquiries from regulators.
- University graduated in Finance, Business Administration or relevant disciplines.
- Minimum 5 years' relevant compliance gained from investment management industry.
- Knowledge of relevant regulations in Hong Kong and other jurisdictions (i.e. UK and Cayman Island)
- Ability to work under pressure and produce timely results independently
- Team worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
- Good analytical skills and ability to make critical, time sensitive decisions
- Good command of spoken and written Chinese and English
- Candidates with less experience will be also considered