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Compliance Manager with Leading Asset Management Firm

  • Job type: Permanent
  • Location: Hong Kong
  • Salary: up to 60,000 per month
  • Job reference: RADV
  • Sector: Banking and Finance, Compliance, Asset Management, Buy Side, Fund Management, Private equity, Risk Management, Selby Jennings
  • Date posted: 16/10/2017
Our client is a Established Leading Asset Management firm; they're looking out for an Regulatory and Investment Compliance professional to join their ranks.

This role is based in Hong Kong.

Responsibilities:
  • Be main point of contact with the SFC; handle matters pertaining to corporate licensing and regulatory disclosures
  • Conduct surveillance on the company’s dealings and trading activities
  • Develop and implement a comprehensive and robust compliance manual, procedures, monitoring programmes, and frameworks to ensure compliance along SFC and other regulatory policies, company policies, and industry best practices
  • Provide investment compliance support to the investment team on investment guideline management controls, set up investment codes and restrictions in such compliance systems like Bloomberg/AIM for approvals
  • Perform day-to-day investment guideline management activities in the compliance module in Bloomberg, determine and provide guidance in interpretation of rules for setting into the system.
  • Assist in providing AML advisory support to business and management
  • Raise and maintain compliance awareness within the firm by providing timely information, publications and relevant trainings
  • Negotiate master agreement terms with stakeholders, be the acting representative of the company in liaising with external legal advisors

If you’re an ambitious Compliance professional looking for your next step up, apply now by clicking the button below. If you have any questions, please do not hesitate to call at +65 65894470 for a confidential discussion.

 
Look forward to hearing from you!


EA License No. 16S8194
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