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Serve as liaison between the business and the SFC, its primary, local regulator
Manage the Compliance Risk Management Program for Investments in Hong Kong
Keep abreast of local laws, rules and regulations to ensure compliance program addresses all applicable risks
Develop, implement, and oversee compliance policies and procedures to prevent and detect violations of investment laws in Hong Kong
Provide ongoing training to Investments professionals with respect to applicable policies, procedures, and controls
Provide day-to-day support to Hong Kong Investments professionals in satisfying their compliance obligations
Develop and execute a monitoring and testing plan to ensure that compliance controls are operating as intended
Work with Investments and the Investments Section of the Law Department, Global Risk Management and others to prepare disclosures or reports for regulators, boards of directors, working groups and committees as necessary; and
Oversee the day-to-day administration of several key controls related to the Investments compliance program in Hong Kong, including, but not limited to, portfolio guideline monitoring, the restricted issuer list, gifts and business entertainment reporting, personal securities trading, authorized trader lists, OFAC and local sanctions programs, regulatory reporting, marketing material review, and ethical walls
Bachelor Degree and above
Minimum five years' experience with an SFC registered investment management firm
Proficient in reading, writing, and speaking English
Excellent written communication skills, including ability to write procedures, prepare formal disclosure statements and regulatory reports, and work with complicated excel spreadsheets.
Ability to assess risk and communicate results to management
Ability to analyze risks and controls and determine when controls are not operating effectively
Interested Applicants please send your resume (in Word format) together with present and expected salary to Jared Ng:
Tel: (852) 2521-5118 ext. 818
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