Compliance Officer ( Foreign Investment Firm )

Our client is a Foreign Company holding SFC type 1,4 and 9, focus on credit fund, real estate, and private equity.

Responsibilities:

• Provide compliance oversight for the Hong Kong branch of a fast-growing Asset Management firm
• Assist in launching and maintenance of Hong Kong domiciled funds
• Liaison with both internal (i.e. Investment, Product, Risk, Finance, Compliance) and external partners (i.e Custodian and Administration) for fund portfolio monitoring
• Assist the firm in maintaining and developing policies and procedures as well as proper internal control to ensure the company's activities are in compliance with the latest statutory and regulatory requirements
• Monitor and review compliance matters related to operations & investments
• Maintain and update AML/compliance framework, policies, guidelines and procedures compliant with internal and external regulatory requirements
• Work closely with compliance consultants to support the SFC licensing, continuous professional training monitoring and other compliance processes.
• Carry-out KYC assessment, client background and ongoing transactional AML checks
• Arrange and coordinate compliance / AML training
• Collaborate with external auditors and accountants when needed
• Support ad-hoc projects related to the quality control or compliance

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