Key Responsibilities:

• Develop and review compliance program and perform internal investigation
• Develop, update and review policies, procedures and guidelines from the compliance perspective and circulate to staff for compliance purpose
• Review legal documents
• Handle enquiries from regulators and external parties e.g. SFC
• Handle licensing matters, notification, annual return, FRR, survey and other ad hoc reports as required by the regulators
• Develop training materials and coordinate compliance
• Handle ad hoc tasks as assigned

Requirements:

• Degree holder in business, finance, accounting or related disciplines
• 3-5 years of relevant experience in asset management firms with SFC Type 4,9 licenses
• Sound knowledge of the SFO and other relevant codes and regulations 
• Good knowledge in AML/KYC and back/middle office operation is preferential
• Fluent in English and Chinese (Proficiency in Mandarin will be an advantage)
• Good team player and self-motivated with strong sense of responsibility, organizational and problem-solving skills
• Self-motivated, independent with strong communication skills
• Professional presentation and report writing skills

All information received will be kept in strict confidentiality and only for employment-related purposes.

TeamPlus Consulting Limited is a licensed employment agency offering total HR solutions to SFC licensed firms in Hong Kong. TeamPlus specialises in referring Responsible Officers (“ROs”) and middle and back office staff (operations, risk, accounting and compliance)  to clients. TeamPlus is an affiliated company of CompliancePlus Consulting Limited. 

CompliancePlus is a leading independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider" in 2013 & 2017 by AsianInvestor, and the "Top 10 RegTech Consulting/ Services Companies - 2019" by APAC CIO Outlook.  Our dedicated team of compliance officers has years of professional experience equipped with in-depth knowledge of both functional and compliance experience in managing and minimizing regulatory, operational and reputational risks.  

As an award-winning industry leader providing compliance solutions and insights to financial institutions and hedge fund managers in Asia, CompliancePlus brings the most comprehensive and value-added compliance services to our clients, enhancing their competitiveness in the finance industry. We also devote substantial resources in staff training and development.