Compliance manager - asset management Compliance manager - asset management …

Lake Street Executive Search
à Hong Kong
CDI, Plein-temps
Dernière candidature, 30 nov. 20
competitive
Lake Street Executive Search
à Hong Kong
CDI, Plein-temps
Dernière candidature, 30 nov. 20
competitive
Our Client is a well-known Chinese asset management firm, and now they are looking for a compliance manager/senior manager to join their firm

Responsibilities

  • Overall supervision of compliance of all business activities
  • Overall identification of compliance risks of all business activities, including asset management and brokerage
  • Make recommendations concerning safeguard of compliance risks
  • Assist company in new products and businesses development, giving compliance advice
  • Maintain good relationship and communicate with regulatory bodies, including SFC and HKEX, etc.
  • Review all kinds of regular compliance reviews performed by department staff

Responsibilities

  • Bachelor degree in Finance/ Law/ Accounting or related discipline(s) with a minimum of 3 years legal and compliance experience in a sizable financial institutional and/or regulatory body
  • Preferred have asset managemetn (Type 4,9) compliance experience
  • Well-experienced gained in fund management with rich knowledge in securities laws, operations, products and services, and a sound understanding of current trends in asset management
  • Ability to work effectively in a highly confidential, fast-paced environment with fluctuating priorities and deadlines
  • Mandarin and English is a must, Cantonese is a plus
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