Compliance Manager (Asset Management)

Compliance Manager (Asset Management)

Agensi Pekerjaan Spring Professional (Malaysia) Sdn Bhd
5-12 years
Not Specified

Job Description

Our client is a JV with alternative investment business. They have business footprints in Hong Kong and China. Their trading volume has grown rapidly, and eager to expand further. With the changing needs of the markets and commitment towards sustainable development & growth in the regions, they are currently looking for an experienced Compliance professional to join the existing team. The role is based in Hong Kong.
Candidate with less experience will be considered as Assistant Manager.

Main Duties and Responsibilities

Reporting to the Head of Compliance, you will be taking care of legal and compliance matters in the group. You will be facing regulatory bodies, internal and external stakeholders and senior management. You will monitor and manage the organization’s legal and compliance risks.
Other Roles and Responsibilities

Oversees all compliance and AML matters of the group's business
Detect, monitor and manage compliance and regulatory risks
Lead major compliance projects
Develop strategies and guidelines to response and mitigate legal & compliance risk emergencies
Advise legal, compliance and regulatory developments to management
Work closely with investment team, participate in trade monitoring
Conduct surveillance on staff dealing
Follow up on licensing matters, reporting to SFC
Hold periodic training to business
Promote and maintain a sound compliance culture within the group
Candidate profile

5+ years of compliance experience in financial institutions, preferably with experience in alternative investments/asset management. Experience in Bloomberg/AIM. As one of the main compliance representatives of the company, you must possess excellent presentation and communication skills and be fluent in Chinese and English. Possess a strategic mindset, excellent risk awareness and being ethical. Embrace changes, flexible and open-minded.
What to Expect

Our client offers the benefits of a work environment that is stimulating, challenging and balanced. You will be working in an Exciting and Fast-Paced Environment for an Established Organization; and being a part of an Employee & Customer Centric Business that provides a large degree of autonomy to their management team and encourages creativity and development of new ideas.
Interest and Apply

Advance your career to the next level with this fantastic opportunity in Hong Kong. To further consult on this role, please reach out to Adrienne Lui via [Confidential Information]
Please note that only short-listed candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.

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