General Compliance Officer - Chinese Investment Management
CLIENT BACKGROUND
We are seeking a diligent and proactive Compliance Officer to join our team. The successful candidate will be responsible for overseeing general compliance activities, including staff dealing, SFC and head office reporting, KYC, and AML. This role requires a professional with a solid understanding of compliance regulations and familiarity with the code of conduct.
JOB RESPONSIBILITY
- Develop, implement, and maintain compliance policies and procedures.
- Monitor and review compliance with regulatory requirements, including SFC reporting.
- Conduct regular compliance audits and risk assessments.
- Ensure adherence to KYC and AML regulations.
- Stay updated on regulatory changes and industry best practices.
- Prepare compliance reports for senior management.
- Liaise with regulatory bodies and external auditors as needed.
- Provide training and support to staff on compliance matters.
JOB REQUIREMENTS
- 3-5 years of experience in compliance, preferably within the investment management sector.
- Knowledge of regulatory frameworks and compliance standards, including SFC regulations.
- Familiarity with the code of conduct.
- Strong analytical and problem-solving skills.
- Excellent communication and interpersonal skills.
- Ability to work independently and as part of a team.
- Relevant certifications (e.g., CAMS, CRCM) are a plus.
FAQs
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