Key Responsibilities:

• Develop and review compliance program and perform internal investigation
• Develop, update and review policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
• Review legal documents
• Handle enquiries from regulators and external parties e.g. SFC
• Handle licensing matters, notification, annual return, FRR, survey and other ad hoc reports as required by the regulators
• Provide compliance training to aligned business and promote a compliance culture
• Keep track of applicable laws and regulatory requirements to aligned business, guide with business conduct gap analysis and oversight the implementation
• Handle ad hoc tasks as assigned

Requirements:

• Degree holder in business, finance, accounting or related disciplines
• 3-5 years of relevant experience in asset management firms with SFC Type 1,4,9 licenses
• Sound knowledge of the SFO and other relevant codes and regulations 
• Good knowledge in AML/KYC and back/middle office operation experience in EAM or private bank is preferred
• Fluent in English and Chinese (Proficiency in Mandarin will be an advantage)
• Good team player and self-motivated with strong sense of responsibility, organizational and problem-solving skills
• Self-motivated, independent with strong communication skills
• Professional presentation and report writing skills

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