Assistant Compliance Manager (Asset Management Field)

国泰君安国际 Guotai Junan International; Hong Kong; On-site; HKD 500,000 - 650,000; Full time

Benefits offered by this job

Attractive remuneration package

Fringe benefits

Job summary

A leading financial institution in Hong Kong is seeking a compliance professional with 3-5 years of experience in asset management or banking. The ideal candidate will manage SFC authorised fund registration, provide compliance advice on AML matters, and develop compliance policies to meet regulatory requirements. Proficiency in English, Chinese, and Mandarin is essential. The position offers an attractive remuneration package along with additional benefits.

Qualifications

• 3-5 years of asset management or banking compliance experience.
• Solid knowledge of Stock exchange, SFO and SFC codes.
• Experience in developing and implementing compliance programs.

Responsibilities

• Manage SFC authorised fund registration and compliance matters.
• Provide compliance advice on AML and related assignments.
• Develop and maintain compliance policies aligned with SFC expectations.

Skills

Compliance advice

Strong self-motivation

Excellent interpersonal skills

Proficiency in English, Chinese, and Mandarin

Education

Bachelor's degree in Finance, Business, Law, or related discipline

Qualification as a Hong Kong lawyer

Job description

Job Description

• Act as a team member responsible for matters related to SFC authorised fund registration, filing and regular reporting, etc. with a compliance experience of investment vehicles in other jurisdictions, such as Cayman Islands, BVI, with FATCA/CRS reporting experience an advantage.
• Able to independently manage and provide compliance advice on AML and related assignments and issues, e.g., CDD requirements, STR, KYC/AML requirements from both Hong Kong and Cayman Island perspectives.
• Experience to support including but not limited to manage general licensing (Annual return, BRMQ and use of WINGS etc.) and ongoing notification matters.
• Develops, updates and maintains comprehensive compliance policies and procedures aligned with SFC expectations and the Company’s requirements, and handle inspection and regulatory queries from internal audit team and regulators.
• Assist with client onboarding new clients to ensure information is accurate and in line with KYC/AML policies.

Job Requirements

• Bachelor's degree or above in Finance, Business, Law, or a related discipline. Qualification as a Hong Kong lawyer is a strong advantage.
• At least 3-5 years of asset management or banking compliance experience, with related exposure to internal control, compliance covering asset management products. Preferably supplemented with relevant compliance qualifications.
• Solid knowledge of the Stock exchange, SFO and SFC codes and Guidelines. Good knowledge of research, asset management and investment banking products of HK/ China Mainland/ Overseas markets.
• Experience in developing, implementing and monitoring compliance program, including risk assessments, policy enforcement and regulatory reporting.
• Strong self-motivation, with the ability to work independently and under pressure.
• Excellent interpersonal skills and communication skills (verbal and written). Proficiency in spoken and written English, Chinese and Mandarin.

Benefits & Others

We offer an attractive remuneration package and fringe benefits to the right candidate. Interested applicants please send detailed resume stating present and expected salaries, as well as date of availability, by clicking "Apply" or by sending it to [e-mail].

(Data collected will be kept strictly confidential and used for recruitment purpose only.)