- Ensure adherence to SFC licenses for financial advisory and fund management, specifically types 1, 4, and 9.
- Assist in the management of compliance matters, including engaging with regulators and external auditors for compliance audits.
- Prepare compliance control reports, identifying risks and making recommendations for necessary changes.
- Stay current with policies, regulations, and procedures concerning securities, fund management, client onboarding, anti-money laundering, anti-bribery and corruption, and other relevant areas.
- Provide guidance on laws, regulations, and ethical behavior to employees, senior management, and the board.
- Monitor day-to-day compliance responsibilities, which include regulatory reporting, licensing, anti-money laundering (AML), know your customer (KYC), and general compliance duties.
- 3-5 years of experience in the finance industry and/or fund management companies is REQUIRED.
- You should have experience in a 1,4,9 Licensed company.
- Experience from Private Equity, Asset management, Fund Management, Securities is REQUIRED.
- Bachelor's degree or further in law, compliance and regulation, or any related discipline.
- Fluent in spoken and written English.
- Involvement in projects that enhance critical thinking skills, problem-solving abilities, product development, financial modeling, and other key competencies.
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Compliance Associate - Hong Kong, 香港 - Gough Recruitment
描述
Responsibilities
Requirements
