Compliance Associate, Investment Advisory
Argyll Scott
Hong Kong
2天前

Job description

Argyll Scott is partnering with a growing Swiss-based Investment Advisory firm (regulated by SFC) to look for a high calibre compliance associate.

Responsibilities

  • Report to the head of compliance
  • Develop and oversee the Compliance Framework
  • Enhance compliance culture and standards and raise awareness of regulatory requirements and compliance policies
  • Establish, implement and monitor compliance policies, procedures and standards
  • Assist in SFC reporting, licensing, AML, KYC and general compliance duties
  • Keep abreast of the latest regulatory requirements
  • Organize internal compliance training for employees and supervise CPT training
  • Present recommendations to management for improvements
  • Requirements

  • Degree holder in Risk Management, Finance or related disciplines with professional qualifications a plus
  • Minimum 4 years of related compliance experience in an in-house environment
  • Big 4 candidates with compliance project experience in buy-side will also be considered
  • Good communication skills in English, Cantonese and / or Mandarin language
  • For further details, please contact Karen Yung at +852 3695 5184 or at kyung

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