Senior Associate, Compliance Consulting
Duff & Phelps Corp
Hong Kong, Hong Kong SAR
5天前

RESPONSIBILITIES

  • Managing a portfolio of clients regulated by the SFC, SEC and other global regulators
  • Preparing compliance manuals and other related policies and procedures
  • Setting up the compliance infrastructure and assisting ongoing compliance monitoring
  • Undertaking periodic compliance monitoring reviews at client premises
  • Writing compliance monitoring reports
  • Managing regulatory filing and reporting schedules
  • Providing ad hoc regulatory advice and creative solutions
  • Updating clients on regulatory change
  • Networking and relationship building with industry professionals and industry bodies
  • REQUIREMENTS :

  • Proven experience in a compliance role, for example within an SFC regulated firm or a compliance consultancy practice
  • Detailed understanding of SFC, SEC rules and regulations
  • Understanding of the financial services industry i.e. asset management and broking sectors
  • Broad understanding of the alternative asset management industry
  • Ability to work on own initiative and as part of a team
  • Client facing, solutions focused skills
  • Clear, logical thought processes, ability to make decisions and articulate these clearly
  • Strong English oral and written communication skills
  • Time management skills and ability to work within deadlines
  • Solution-driven and problem-solving attitude
  • Legal or audit background would be useful
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