about the company
Our client is a global asset management firm with a strong presence in the region.
- Review local, regional or global sales and marketing materials on a variety of products and services according to global and local regulatory standards, including HK, Australia, China, Korea
- Perform various regulatory GAP analysis for HK and the region
- Perform risk based AML/KYC review for the region
- Code of Ethics - responsible to review and approve staff dealings for the region, monitoring and surveillance
- Knowledge on Fund Manager Code of Conduct
- Handle SFC licensing and regulatory filings, including licensed representative application or RO applications
Assist in performing Asia Pacific ex Japan central trading desk monitoring tasks to ensure regulatory and internal requirements are complied with
- Degree holder in Law or Accounting preferred
- At least 3 to 5 years experience in compliance gained from an asset management firm
- Relevant product knowledge, including HK and UCITs Mutual Fund, MRF, Private or Alternative funds, MPF or other retirement funds (e.g. Superannuation, CPF.etc) knowledge and Asia regional exposure advantage
- Good command of written and spoken English and Cantonese and ideally, Mandarin is advantageous
To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Nicole Hui on + 852 2232 3421.
|Language||English, Cantonese, Mandarin (Putonghua)|