CLIENT BACKGROUND
Our client is a top-tier Asset Management Company in the APAC Region. Has a team of 4 and are looking for a candidate for Legal or Compliance experience.
JOB RESPONSIBILITY
- Monitor daily trading activities and transactions to ensure compliance with firm policies, client mandates, and Hong Kong regulatory requirements
- Assist in the development and implementation of compliance programs, controls, and procedures tailored to the Hong Kong market
- Conduct compliance risk assessments and recommend mitigation strategies specific to the Hong Kong asset management industry
- Provide compliance training and guidance to investment professionals and other business units
- Prepare and submit regulatory filings and reports required by the SFC and other relevant authorities
- Coordinate with external auditors and regulators during examinations and inspections
JOB REQUIREMENTS
- Bachelor's degree, preferably in finance, accounting, business, or a related field
- 1-3 years of compliance or regulatory experience, ideally within the asset management industry in Hong Kong or the broader Asia-Pacific region
- Strong understanding of Hong Kong's regulatory landscape, including SFC (Securities and Futures Commission) rules and guidelines
- Familiarity with global financial regulations, such as FATCA and AML/CTF requirements
- Excellent analytical, problem-solving, and attention-to-detail skills
- Fluency in English and Cantonese or Mandarin
