CLIENT BACKGROUND
Our client is one of the largest asset management firm in the APAC Region. Has a team of 6 and are looking for a candidate for General and Regulatory Compliance experience.
JOB RESPONSIBILITY
* Handle corporate and individual SFC licensing applicationsï¼›
* Arrange compliance trainings and keep track of training recordsï¼›
* Review client due diligence (KYC) documents submitted by sales on new and existing clientsï¼›
* Review sales and marketing materialsï¼›
* Facilitate sales to conduct counter-party/ client due diligenceï¼›
* Monitor personal account dealings and handle related tasksï¼›
* Handle projects and tasks relating to AML and CRS/FATCAï¼›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
JOB 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
