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Compliance Officer (Top Tier Japanese Asset Management firm)

JAC Recruitment Hong Kong Co., Limited

  • Company Industries:Human Resources Management/Consultancy

Job Information

  • Post Date:2019-05-22
  • Career Level:Not Specified
  • Location:Not Specified
  • Yr(s) of Exp:1 years
  • Qualification:Degree
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Legal & Compliance
  • Benefits:Dental insurance, Five-day work week, Life insurance, Medical insurance

Job Description

We are looking for a high caliber Compliance Officer for our client, a Top Tier Japanese Asset Management firm. 

 

Responsibilities:

  • Compliance check on staff and funds trading, confirm no irregularity is happened.
  • Review and update internal guidelines and policies for both HK and Shanghai office according to the rules and regulations of HK and Shanghai
  • Monitor Compliance of both internal and external rules, regulations and guidelines
  • Advise Management on any Compliance issues or Compliance inquiries and identify potential impacts
  • Evaluation legal documents and liaise with lawyers for professional comments
  • Coordinates with the SFC for all Compliance issues (i.e. licensing, reporting, company inspection, etc)
  • Responsible for monthly compliance meeting with Tokyo head office and Shanghai office
  • Monitor and data update of Continuous Professional Training records for all staff and recommending training courses to staff in necessary
  • Alert the Managing Director and the General Manager to take disciplinary action if any staff member breaking the rule or regulations.
  • Support the General Manger for the administration work (e.g. legislation update, collaborate for regulatory submission, etc.)
  • Take business trip to Shanghai office at least once a year

 

Requirements:

  • University degree or above
  • 1 to 3 years’ experience in the capacity of compliance in finance industry
  • Having experience to communicate with SFC (especially the application of license)
  • Fluent in English, Cantonese and Mandarin

 

Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: justin.wan @jac-recruitment.com and jac.hk @jac-recruitment.com

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.

Company Info

Founded in London in 1975, JAC Recruitment’s network now spans across 11 countries worldwide such as China, Hong Kong SAR, Singapore, Malaysia, Indonesia, Thailand, Korea, Vietnam, India, UK, Germany and Japan. With more than 1200 professional consultants globally, we specialize in placing high-caliber professionals with major multinational companies throughout Asia and beyond.

As recruitment experts in our industries of operation, we offer 360º consulting for companies and job-seekers seeking new opportunities for development. To take the first step towards finding that perfect connection for you, pls contact us now!

JAC Recruitment Hong Kong Ltd. Company No. 66337.

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