Compliance Manager Compliance Manager …

Michael Page
in Hong Kong
Festanstellung, Vollzeit
Letzte Bewerbung, 20 Okt 20
Michael Page
in Hong Kong
Festanstellung, Vollzeit
Letzte Bewerbung, 20 Okt 20
• Growing business• Opportunity to lead and develop the compliance team
About Our Client
My client is backed by a large, well branded International Insurance Business in China. Their investment management arm in Hong Kong has been established for over 5 years and the growth they have seen over that period years has been consistent and very encouraging.

Job Description
  • Implement compliance controls and monitoring programs, including general compliance and investment compliance;
  • Formulate, review and update policies and procedures;
  • Liaise with SFC and regulatory bodies and handle their queries, inspection, reports and licensing matters;
  • Monitor and review business activities, transactions, documentation and other records in ensuring the compliance with regulatory requirements;
  • Provide day to day compliance advice and guidance to business units;
  • Conduct review and investigation in a wide variety of compliance related matters;
  • Involve in new product launch projects by providing compliance input;
  • Perform KYC and CDD review for new and existing clients;
  • Conduct AML name screening and document verification;
  • Perform further investigation on identified suspicious client and client's transactions and report to Head of Legal and Compliance;
  • Manage and provide compliance training;
  • Perform ad hoc projects as required.

The Successful Applicant
  • Bachelor degree in Law, Finance, Accounting or other related disciplines
  • Minimum of 5 years relevant compliance experience in financial services industry (preferably in securities and asset management firms)
  • Strong knowledge of SFC regulations, AML legislation's and other relevant regulatory requirements
  • Hands on experience in dealing with regulatory bodies and compliance issues
  • Independent, self-initiative and good interpersonal skills
  • Good command of written and spoken English and Chinese, fluent in Mandarin
  • Availability to start sooner is preferred

What's on Offer
The candidate will receive a competitive package as well as the opportunity to be part of a growing team and business.
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