Our client is A Leading Asset Management Company

Responsibilities: 

• Reporting to the Compliance Director in HK
• Conduct AML / KYC assessment as required and assist in day-to-day AML monitoring
• Assist in implementing and monitoring the Ethics program
• Handle SFC licensing related matters such as application of license and ongoing licensing obligations
• Conduct compliance monitoring and testing to ensure business operations comply with regulatory and internal requirements
• Prepare regulatory reports and filings and assist on corporate secretarial matters, including drafting of board minutes
• Review sales and marketing materials
• Support Compliance and business initiatives
• Assist with internal and regulatory audits and investigations
• Perform pre and post-trade monitoring of investment guidelines
• Conduct Compliance trainings

Requirements:

• Master Degree in Finance, Accounting or Law degree preferred
• Minimum 5 years of compliance experience with asset management firm
• Familiar with Bloomberg AIM CMGR is an asset
• Good command of written and spoken English and Chinese (Cantonese/Mandarin)
• Strong analytical skills and the ability to manage several simultaneous tasks
• A strong team player and able to engage people across all corporate hierarchies
• A quick and enthusiastic learner who can work independently
• A passionate team player who can work under time pressure
• Excellent MS Office skills (especially Excel, knowledge in VBA is a definite plus)

Interested parties, please send your CV in MS Word format with an indication on present and expected salary to Mr. Lee via email at alee@wwhcc.com, thanks!