Asset Management Compliance Job
Associate level
3+ years
Client Background:
Our client is one of the largest Chinese asset management firm in the APAC Region. Has a team of 6 and are looking for a candidate for General and Regulatory Compliance experience, ideally with previous inspection background.
Responsibilities:
Handle corporate and individual SFC licensing applications；
Arrange compliance trainings and keep track of training records；
Review client due diligence (KYC) documents submitted by sales on new and existing clients；
Review sales and marketing materials；
Facilitate sales to conduct counter-party/ client due diligence on;
Monitor personal account dealings and handle related tasks；
Handle projects and tasks relating to AML and CRS/FATCA；and
Handle other general compliance matters or assist projects as assigned from time to time.
Support the Head of Legal and Compliance if there is any general SFC enquires or Inspection
Requirements:
University graduate, preferably with finance, accounting or law degree
Relevant experience in financial institution, preferably asset management company (if not, Securities firm is also acceptable)
Good interpersonal communication skills
Good team player while being able to work independently
Details-oriented
Proficient in English, Mandarin and Cantonese
