Senior Manager, Compliance - Asset Management

Location: Hong Kong, Central and Western District
Job Type: Permanent
Industry: Investment Banking & Private Equity
Reference: 33859_1624406436
Job Published: June 23, 2021

Responsibilities
  • Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by the regulators for licensed persons;
  • Handle license applications and provide advice on licensing issues;
  • Review and revise business plan for approval by regulators;
  • Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes;
  • Keep abreast of, monitor, and analyze developing trends and changes in regulatory compliance laws, rules and regulations, and advise clients of the operational impact of such trends and changes;
  • Handle FATCA related matters;
  • Perform ad-hoc assignments as assigned.
Requirements
  • Bachelor's Degree or above;
  • At least 8 years relevant working experience in handling complicated compliance issues is essential;
  • Familiar with primary and secondary market trading systems;
  • Good knowledge of SFC regulations, guidelines and market practices;
  • Good command of both written and spoken English and Chinese (including fluency of Mandarin);
  • Proficient in MS Office, including Word & Excel and Chinese word processing is required;
  • Immediate availability is highly preferred.
Please note that only shortlisted candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.