Job summary

Responsibilities:

  • Provide compliance advisory service to the asset management department and other functions in respective regulatory issues.
  • Review and advise on new business initiatives and products from a regulatory, best practice and Firm standard perspective.
  • Maintain and update relevant compliance manuals, policies, and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standar...

Responsibilities:

  • Provide compliance advisory service to the asset management department and other functions in respective regulatory issues.
  • Review and advise on new business initiatives and products from a regulatory, best practice and Firm standard perspective.
  • Maintain and update relevant compliance manuals, policies, and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards, and issue new policies and procedures considering regulatory or business developments.
  • Perform independent periodic and thematic reviews on business activities.
  • Develop and implement control testing and monitoring surveillance measures.
  • Response to regulator's enquiry and provide support to business and other functions during the inspection.
  • Provide compliance training to business units and infrastructure support functions.
  • Relationships management with regulators, and internal and external stakeholders to facilitate cooperation and business operations.
  • Handle any other compliance matters and ad-hoc tasks as required for the operation of the Firm's businesses in Hong Kong

Requirements:

  • Bachelor's degree holder, preferably in law, finance, or related discipline
  • At least 3 years of experience in regulatory compliance field
  • Proficient in spoken and written English and Chinese
  • Self-motivated, analytical and attention to details

Our client offers an excellent remuneration package to the right candidate. Interested parties please kindly reach out to Kelvin Hung at 39070744/k.hung@gravitasgroup.com for a confidential discussion.

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