L&C Officer - Asset Management Firm
Job Description
We are seeking a highly motivated and experienced General Compliance Officer to join our team. The ideal candidate will have 3-10 years of experience in regulatory compliance, including KYC, AML, licensing, compliance advisory, and investment compliance.
Key Responsibilities
- Ensure compliance with all relevant regulatory requirements and internal policies.
- Conduct KYC and AML checks and maintain accurate records.
- Manage licensing processes and ensure timely renewals.
- Provide compliance advisory to various business units.
- Monitor and review investment compliance activities.
- Liaise with regulatory bodies and ensure timely reporting.
- Develop and implement compliance policies and procedures.
- Conduct compliance training for staff.
Qualifications
- Bachelor's degree in Law, Finance, Business, or a related field.
- 3-10 years of experience in regulatory compliance.
- Strong knowledge of KYC, AML, licensing, compliance advisory, and investment compliance.
- Excellent communication and interpersonal skills.
- Ability to work independently and as part of a team.
- Strong analytical and problem-solving skills.
- Proficiency in English and Cantonese/Mandarin is preferred.
FAQs
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