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A well-regarded asset management company is looking for an AVP/VP to join their compliance department
Perform investment compliance monitoring activities including reviewing compliance exceptions and developing a proficient understanding of the investment compliance systems
Facilitate KYC/AML due diligence and surveillance during client take-on and on an ongoing basis
Conduct compliance monitoring program and prepare internal and external compliance reports for senior management, head office and regulatory bodies
Assist in the review and drafting of the company's compliance policies
Handle licensing, staff dealing requests and maintain CPT registers
Arrange and provide compliance training to staff
Assist senior compliance manager in compliance related projects
University graduates in Finance, Accountancy, Law or other related disciplines At least 3 years in-house compliance experience with asset management business. Hands-on experience in investment compliance is a must
Knowledge of Hong Kong regulatory regime related to mutual funds and unit trust
Detail-oriented, responsible and a team player
Fluency in both spoken and written English and Chinese
Interested parties please send your updated resume in WORD format with current and expected salaries (quoting Employer Ref:) to banking@aimHigher.com