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Vice President / Manager, Compliance (Asset Management)
Mandurah ConsultancyCentral & Western District, Hong Kong30 天前
职位描述Bachelor Degree or above in Laws, Accounting or related discipline 5+ years solid experience in compliance for Asset Management sectors with strong knowledge on Mutual Fund Able to work independently, diplomatic, presentable Fluent in both written and spoken English and Chinese (including Mandarin)
Description :
Our client is a sizable and listed financial institution with HQs based in China. They provide a full range of financial services in Hong Kong and is licensed by SFC for activities of Type 1, 2, 4, 5, 6 & 9.
- Report to Group Head of Compliance and manage all compliance issues for the sector of Asset Management
- Liaise with HKEX, SFC and relevant regulatory bodies for queries and requests
- Identify and evaluate compliance risks of the operations and business activities as well as provide professional advice to the BUs to ensure all activities / processes are in compliance with regulations and internal policies
- Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments
- Review compliance policies, procedures and manuals for the BUs with effective measurements for internal control purpose
- Undertake ad hoc assignments or projects as required
Requirement : :
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Compliance Manager • Central & Western District, Hong Kong