Compliance Manager [Investment Corporation]

Our client is a well-known and sizable asset management institution with good career progression.

DUTIES & RESPONSIBILITIES:

• Review KYC / onboard of new clients
• Refresh KYC of existing client if necessary
• Set-up and distribute the company wide restricted list on public companies
• Ensure compliance policies, manuals and procedures are up to date
• Conduct compliance training to new staff
• Alert company on any changes in regulations across all jurisdictions
• Handle regulators enquiries, client complaints and matters in relation to license registration with FCA, FINRA, SEC, SFC and other regulators. Keep abreast of new regulatory requirements published by the regulators etc.
• Review and update the template of engagement letters, NDA, etc.

REQUIREMENT

• Bachelors' degree in business, law or other related discipline
• 3-6 years experiences in asset management house for related areas
• Proficiency in written and spoken Mandarin, English and Cantonese
• Good interpersonal and communication skills
• Familiar with local rules, regulations and common market practice
• Proactive and good team player

Apply Today

To apply online (Word attachment only), please click the 'Apply' button. Please note that only short-listed candidates will be contacted.