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Provide advisory and monitor the business units on the implication of new regulations to ensure the business operations being strictly in compliance with regulatory requirements.
Perform compliance monitoring tests and trade surveillance
Liaise with regulator including response to the enquiries and handle the regulator reports
Review the compliance police, procedures and marketing materials
Monitor the financial crime risk and related issues
Degree or above in Business Administration with at least 6 years relevant experience within Asset Managers
Knowledge of regulations and SFC codes within the investment firms
Able to work under pressure with good command of critical thinking and communication skills
Detail minded, team player and self-motivated
Proficient in both spoken and written English and Chinese
Our client offers an attractive remuneration package, generous fringe benefits as well as excellent opportunities for career advancement. Interested candidates please send your application to: email@example.com or click Apply Now.
Internal Number: 6469169
About One Arrow Consulting
eFinancialCareers is a career site specializing in financial services.