CLIENT BACKGROUND
Our client is one of the largest Asset Management firms 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.
JOB RESPONSIBILITIES
- Handle corporate and individual SFC licensing applications
- Arrange compliance training 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
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
