Our client is a sizable Chinese Asset Management firm. They would like to add another headcount into their compliance team.
- Perform full spectrum of compliance functions for asset management business
- Attend to ongoing compliance requirements under the Companies Ordinance, Securities and Futures Ordinance and relevant subsidiary legislation and codes issued by the regulators for licensed persons;
- Assist in handling licence applications and providing advice on licensing issues;
- Assist in reviewing and revising business plan for approval by regulators;
- Assist in reviewing and revising compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes;
- Keep abreast of, monitoring, and analyzing developing trends and changes in regulatory compliance laws, rules and regulations, and advising clients of the operational impact of such trends and changes;
- Ad hoc projects assigned by superiors.
- Degree in Law, Finance, Accountancy or related professional qualifications;
- Relevant experience in handling SFC licence applications and compliance issues is essential;
- At least 2 years of relevant experience gained from sizable financial institution;
- Experience in conducing on-site inspections will be an advantage;
- Self-motivated, well-organized and detail-minded;
- Good command of spoken and written English and fluent spoken Mandarin;
- PC knowledge, familiar with secondary market trading systems.