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Head of Deputy of Compliance / Senior Compliance Manager (Asset Manager)

Ocean Sage Recruitment Consulting Limited

  • Company Industries:Human Resources Management / Consultancy

Job Information

  • Post Date:2017-03-25
  • Career Level:Senior
  • Location:Not Specified
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Fund Management  Others  Legal & Compliance  

Job Description

Our client is the branding Asset Management  and primarily responsible for supporting  on  HK compliance related matters.

 

Objective / Summary of Responsibilities:

Primarily report to the Head of Legal and Compliance in Hong Kong and responsible for the compliance related matters.

 

Responsibilities:

  • Handling general and investment / trading compliance related matters , and ensuring that the business adheres to relevant legal and regulatory requirements (mainly for authorized public funds under SFC).
  • Being responsible for liaising within Compliance  to ensure that any new business initiatives conform to internal requirements and external regulations. Ensuring that the operational flow of the Asset Management Department is smooth and independent from the Firm’s other businesses.
  • Providing compliance advice for new product launching (e.g. ETF products)
  • Providing professional advice to senior management on statutory compliance, practical matters and identifying any associated business risks and liabilities
  • Performing periodic Compliance monitoring and reviews on various business activities
  • Providing relevant Compliance training on various subject matters.
  • Assisting other members of the department on various other matters, including but not limited to: SFC inspections, SFC inquiries & investigations.
  • Managing license applications and CPT requirements in relation to the Asset Management business, and responding to any inquiries from regulators on such matters.
  • Performing and co-ordinating fund-related Compliance controls by working closely with the Risk Department and Trustee and reporting fund investment and management activities as appropriate.
  • Taking up ad-hoc projects and cross training with other Compliance team members when deemed necessary by the Head of Compliance

Requirements:

  • Degree holder in Business Administration, Finance, Business Law or related disciplines;
  • At least 5 years banking experience in compliance, internal auditing or risk management;
  • Exposure in China financial institutions with relevant compliance experience is highly preferable;
  • Substantial knowledge in regulatory requirements relating to banking industry;
  • Analytical, proactive and independent with sound communication skills;

 

Interested parties please send  resume in MS Word format. We are an equal opportunities employer.  The information supplied by you will be treated in strict confidence and used for recruitment purpose only.

Company Info

Ocean Sage is a recruitment consultancy founded by a group of experienced and enthusiastic human resources specialists from different sectors. We are expert in the provision of professional executive search, staff development, talent selection and manpower management services.

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