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Compliance Officer, Asset Manager
MRA SearchHong Kong18 days ago
Job descriptionMinimum 6 yearspliance experience with asset managers / securities houses Strong understanding of the SFC requirements Proven track record inpliance and operational risk control, with a focus on and / or experience working in asset management Effectivemunication skills, both written and spoken English / Cantonese Strong stakeholder management skills
Responsibilities
- Advising the Asset Management business on regulatorypliance, risk identification, mitigation, and all regulatory matters
- Ensuringpliance and operational risk controls are well in place and that policies / procedures reflect regulatory requirements
- Handle allmunication with the local regulator such as the SFC
- Deputizing for the Head ofpliance inmittee and Board Meetings as well as representation at various associations
- Training the firm onpliance initiatives and changes
Requirements-
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Compliance Manager • Hong Kong
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