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.

Other relevant jobs.

View all

Financial Services

VP, Equity Compliance - Top-Tier Inve...

  • TypePermanent
  • SalaryHK$50000 - HK$70000 per month
  • LocationHong Kong

Job Description Responsibilities:Provide advice on regulatory interpretation and compliance...

Financial Services

Central Compliance - Licensing AVP - ...

  • TypePermanent
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

Responsibilities:Supervise the team on all licensing and regulatory matters for the licensed subsidiaries under the...

Financial Services

Digital Business Analyst - Top Tier Bank

  • TypeContract
  • SalaryUp to £0.00 per annum
  • LocationHong Kong

Principle Responsibilities Accountable for digital business / cust...

Actuarial & Insurance

Top-tier Insurance firms- Accounting ...

  • TypeBoth
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

Responsibilities:...

Financial Services

Top-tier Insurance firms- Reconciliat...

  • TypeBoth
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

Accountant/Senior AccountantPrepare bank and account reconciliations of Life Insurance and other business lines

Financial Services

Top-tier Insurance firms- Finance ope...

  • TypePermanent
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

For Manager/ Assistant Manager PositionJob Responsibilities:Handle finance operations including expense &amp...

Financial Services

Top-tier Insurers - FP&A AM/M- Open t...

  • TypePermanent
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

For Manager/ Assistant Manager Position

Financial Services

Open to big 4!!- Top-tier Insurers - ...

  • TypePermanent
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

For Senior Associate/ Assistant Manager Position:Responsibilities:Responsible for monthly m...

Financial Services

Open to big 4!!- Top-tier Insurers - ...

  • TypePermanent
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

For Senior Associate/ Assistant Manager Position:Responsibilities:Responsible for monthly m...

Financial Services

Open to big 4!!- Top-tier Insurers - ...

  • TypePermanent
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

For Senior Associate/ Assistant Manager Position:Responsibilities:Responsible for monthly m...

Financial Services

Open to big 4!!- Top-tier Insurers - ...

  • TypePermanent
  • SalaryUp to HK$0.00 per annum
  • LocationHong Kong

For Senior Associate/ Assistant Manager Position:Responsibilities:Responsible for monthly m...

Financial Services

Accountant - Asset Management

  • TypePermanent
  • SalaryUp to £0.00 per annum
  • Location

ResponsibilitiesResponsible for month end book closing procedures,...