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Senior Associate/Manager, Compliance

  • Leading Asset Management Firm
  • Strong Corporate Culture
  • Excellent remuneration package

Our client is a leading asset manager with a broad range of asset classes. A fantastic opportunity has arisen for an experienced compliace professional to join the Hong Kong Compliance team.

The key responsibilities for this position are as follows:

  • Assist in implementing the consequential changes to the HK Compliance Framework, including relevant oversight of trading execution, allocation and market conduct.
  • Analyse regulatory changes and developments from SFC and other relevant regulatory bodies, as applicable to the firm’s wider Asia-Pacific business operations.
  • Co-ordinate the implementation of regulatory change impacting the firm’s Asia Pacific business operations with relevant departments and track progress to completion.
  • Provide pragmatic advice and guidance on regulatory compliance matters to relevant business areas, projects and business development initiatives.
  • Maintain regulatory policies and procedures applicable to the firm’s Asia-Pacific business operations.
  • Contribute to board reporting, assist in the preparation of board/committee papers on compliance matters.

Successful applicants will have the following skills and experience:

  • Degree qualified with experience gained in a leading asset management firm.
  • At least 6 years’ work experience with asset managers in the areas of Compliance is a Must.
  • Strong knowledge of the SFC Code of Conduct, Fund Manager Code of Conduct and Code on Unit Trusts and Mutual Funds.
  • Have experience in handling matters ranging from distribution/marketing compliance, regulatory advisory and investment compliance.
  • Superior communication and interpersonal skills with the ability to be able to build positive and stable relationships across all levels of the business.
  • Able to work under pressure, on several priorities at once, and with tight deadlines.
  • Logical thinker and able to provide strategic input when required.

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