AVP/VP, Compliance
Financial Service Company
Hong Kong, Hong Kong

Description ResponsibilitiesPerform investment compliance monitoring activities including reviewing compliance exceptions and developing a proficient understanding of the investment compliance systems Facilitate KYC / AML due diligence and surveillance during client take-

on and on an ongoing basis Conduct compliance monitoring program and prepare internal and external compliance reports for senior management, head office and regulatory bodies Assist in the review and drafting of the company’s compliance policies Handle licensing, staff dealing requests and maintain CPT registers Arrange and provide compliance training to staff Assist senior compliance manager in compliance related projects Requirements University graduates in Finance, Accountancy, Law or other related disciplines At least 3 years in-

house compliance experience with asset management business.

Hands-on experience in investment compliance is a must Knowledge of Hong Kong regulatory regime related to mutual funds and unit trust Detail-

oriented, responsible and a team player Fluency in both spoken and written English and Chinese Country Hong Kong Company Financial Service Company Salary US$60,000 -

US$130,000 Working Hours Full-Time Contract Permanent Categories Management / Regulatory Reporting, Hedge Funds / PE / Asset Management, Investment / M&A / Portfolio Mgt, Training & Development, Compliance / AML Industries

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