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Inhouse- Compliance Manager/Responsible Officer

Ref: JN -022018-59139
Asia, Hong Kong
Compliance, Compliance Professional
1st February 2018
Job Type

Our client is one of the global leading investment firm who is in an exciting phase of development and expansion. They are currently looking for a Compliance Manager to head up their team as well as taking up the position of Responsible Officer for their office in Hong Kong.

Key responsibilities include:

  • Monitor and support all functions of a fund management company to ensure compliance with applicable laws, regulations and internal policies
  • Prepare, review and monitor agreements and legal documents relating to sales, trading, corporate and commercial transactions
  • Provide legal advice and solutions to management and departments concerned in supporting daily business activities
  • Review weekly and monthly management accounting reports/financial reporting prepared by accountant

Key requirements include:

  • University degree holder in Law, Finance, Economics, Accounting and related disciplines
  • At least 5 years' relevant compliance experience in Financial Services firms (i.e. Asset Management, Hedge Funds etc.)
  • License holder of SFC Type 1,4 & 9 is preferred
  • Knowledge of Hong Kong SFC codes, licensing rules, guidelines and reporting requirements
  • Excellent command of written and spoken English and Chinese. Fluent Mandarin is mandatory as this person will work closely with mandarin stakeholders in Hong Kong
  • Work independently, able to work under pressure and meet tight deadlines

This company is well-recognized for the work they do and the employees are rewarded for their performances. The role will be perfect for a candidate looking to step up into a leading reputable organization.

License No: 12C6031 / EA Reg. ID R1325169

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