Compliance Manager-Asset Management
E Financial Careers - Hong Kong
Hong Kong, Hong Kong
  • Provide day-to-day advice to ensure that the Company's activities are in compliance with the latest statutory and regulatory requirement
  • Review marketing and communication materials / presentations to ensure compliance with regulatory requirements and handle regulatory approval timely and efficiently;
  • Perform compliance monitoring on AML / CTF and KYC matters including customer / service providers due diligence, OFAC / sanction check, assessment, etc.
  • to ensure proper compliance with relevant regulatory requirements;
  • Handle internal, external, and regulators' inquiries, inspection, and investigation;
  • Handle staff personal account dealing and conduct periodic reporting;
  • Conduct training and prepare educational materials for colleagues to ensure they are up to date with market knowledge and requirements
  • Perform pre - and post-trade investment monitoring including coding, testing, reviewing compliance exceptions, and
  • Handle pre-trade compliance alert from Bloomberg and produce post trade compliance report;
  • Assist in handling SFC annual declarations as well as other notifications to the SFC;
  • Assist asset management department and other business units in understanding and addressing all applicable laws and regulations;
  • Prepare regular and ad-hoc compliance reports to Management and Head Office;
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