Compliance Senior Manager

Taikang Asset Management (Hong Kong) Co. Ltd.; Hong Kong; On-site; HKD 600,000 - 900,000; Full time

Benefits offered by this job

Restaurant d'entreprise

Indemnités de stage/alternance

Job summary

Taikang Asset Management (Hong Kong) Co. Ltd. is seeking an experienced Compliance professional to provide support for business development and investment management in Hong Kong.

The role focuses on ensuring adherence to applicable rules and internal standards. You will review product-related marketing materials for regulatory compliance, advise on product distribution under suitability obligations and Professional Investor restrictions, and conduct ongoing compliance reviews and transaction

Qualifications

• Provide compliance support for business development and investment management
• Review product related marketing materials to ensure compliance with relevant rules and regulations
• Advise on the distribution of products, ensuring adherence to suitability obligations and Professional Investor restrictions
• Conduct regular compliance reviews and transaction monitoring to ensure adherence to regulatory and internal requirements
• Other ad hoc projects

Responsibilities

• Provide compliance support for business development and investment management
• Review product related marketing materials to ensure compliance with relevant rules and regulations
• Advise on the distribution of products, ensuring adherence to suitability obligations and Professional Investor restrictions
• Conduct regular compliance reviews and transaction monitoring to ensure adherence to regulatory and internal requirements
• Other ad hoc projects

Skills

Compliance expertise

Education

University degree in Law, Accounting, Business, Finance

Job description

• Provide compliance support for business development and investment management
• Review product related marketing materials to ensure compliance with relevant rules and regulations
• Advise on the distribution of products, ensuring adherence to suitability obligations and Professional Investor restrictions
• Conduct regular compliance reviews and transaction monitoring to ensure adherence to regulatory and internal requirements
• Other ad hoc projects

Job Requirements

• University degree in Law, Accounting, Business, Finance is an advantage
• Minimum 5 years of relevant compliance experience with asset management companies/ regulatory bodies.
• Practical experience in dealing with SFC authorized funds (particulars in ETF) is an asset
• Good command of written and spoken English & Chinese (Cantonese/Mandarin)
• Strong knowledge of applicable rules and regulations include the UT Code
• A strong and passionate team player who can engage all work levels
• A quick and enthusiastic learner who can work independently and under pressure

(All personal data collected will be used for recruitment purpose only.)