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Asset Management - Senior Compliance Associate

Hong Kong, Hong Kong
Last update 2024-05-25
Expires 2024-05-24
ID #2154365556
Asset Management - Senior Compliance Associate
Hong Kong, Hong Kong,
Modified May 14, 2024


CLIENT BACKGROUNDOur client is one of the largest asset management firm in the APAC Region.

Has a team of 6 and are looking for a candidate for General and Regulatory Compliance experience.

JOB RESPONSIBILITY* Handle corporate and individual SFC licensing applications;* Arrange compliance trainings and keep track of training records;* Review client due diligence (KYC) documents submitted by sales on new and existing clients;* Review sales and marketing materials;* Facilitate sales to conduct counter-party/ client due diligence;* Monitor personal account dealings and handle related tasks;* Handle projects and tasks relating to AML and CRS/FATCA;and* Handle other general compliance matters or assist projects as assigned from time to time.* Support the Head of Legal and Compliance if there is any general SFC enquires or Inspection JOB REQUIREMENTS* University graduate, preferably with finance, accounting or law degree* Relevant experience in financial institution, preferably asset management company (if not, Securities firm is also acceptable)* Good interpersonal communication skills* Good team player while being able to work independently* Details-oriented* Proficient in English, Mandarin and Cantonese

Job details:

Job type: Full time
Contract type: Permanent
Salary type: Monthly
Occupation: Asset management - senior compliance associate

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