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My client is a reputable Investment Manager born from a Strong previous brand servicing a wide range of clients regionally. Exceptional service and a global reach give the brand a good advantage int he market.
Oversee all aspects of compliance with SFC regulatory requirements and group policies
Analyse and interpret regulatory requirements to assess regulatory risk and ensure that the firm's monitoring
activities meet regulatory requirements
Advise on and implementing necessary changes with regard to the compliance manuals and business processes
Develop effective compliance program for compliance reviews
Conduct client onboarding, KYC/CDD reviews and ongoing AML monitoring
Manage all SFC filings and maintain records in support of compliance program requirements;
Handle SFC enquiry and correspondence
5 years of SFC Type 1/4/9 compliance experience (preferably in wealth management industry)
Fluency in English (verbal and written)
Ability to work independently
The candidate will receive a competitive package as well as a great opportunity to play a pivotal role in the next phase of the growth story in Hong Kong and APAC.
To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Nicholas Debbage on +852 2848 9525