BACKGROUND
Our client is a top-tier Financial Institution in the APAC Region. Has a team of 10 and are looking for a candidate for Compliance experience.
JOB RESPONSIBILITY
- Assist in developing and implementing compliance policies and procedures for the asset management business, ensuring adherence to regulatory requirements in China and relevant international standards
- Conduct compliance risk assessments and recommend mitigation strategies specific to the Hong Kong asset management industry
- Monitor and analyze regulatory changes and industry best practices to ensure compliance with evolving requirements.
- Assist in the development and delivery of compliance training programs for asset management staff.
- Prepare and submit regulatory filings and reports required by the SFC and other relevant authorities
- Coordinate with external auditors and regulators during examinations and inspections
JOB REQUIREMENTS
- Bachelor's degree, preferably in finance, accounting, business, or a related field
- 5 years of compliance or regulatory experience, ideally within the asset management industry in Hong Kong or the broader Asia-Pacific region
- Strong understanding of Hong Kong's regulatory landscape, including SFC (Securities and Futures Commission) rules and guidelines
- Excellent analytical, problem-solving, and attention-to-detail skills
- Fluency in English and Cantonese or Mandarin
