- Regional Compliance with Global Asset Manager
- Regulatory, Central and Investment Compliance
- Regional Exposure & Competitive Package
Our Client
Appointed by a worldclass Global Asset Mgmt & Alternative Investment industry leader, hiring over 1000 investment professionals and total AUM of USD 240 Bn to search for Regional Compliance Analyst/Associate.
Job Duties
- Report to the Regional Compliance Manager
- Accountable for reviewing sales and marketing materials
- Responsible for SFC licensing application, staff dealing and CPT hours
- AML/KYC review and monitoring
- Facilitate periodic compliance surveillance
- Assist the preparation regulatory reporting and procedures review in accordance to regulatory & corporate governance
Requirements
- 2-4 years relevant compliance, audit and investment risk experience earned from asset management industry
- Good understanding of SFC regulatory requirements
- Well qualified graduate in Accountancy, Finance, Business, Economics or related disciplines
- Good proficiency in written and spoken English and Mandarin
- Proactive team player with strong communication and interpersonal
- Proficiency in Microsoft Office applications (PowerPoint, Excel)
Category : AML, Legal & Compliance 
Industry :
Banking & Finance
You may also interested in......
- Business & Regulatory Risk Management
- Drive Regional Surveillance Projects
- Healthy Work life Balance & Job Security
Job Duties
- Report to the North Asia Head of Business Risk
- Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region
- Responsible for voice log review and transaction monitoring to ensure the fulfilment of HKMA/SFC regulatory requirements
- Reputable Global Private Banks
- Internal Surveillance & Regional Project
- Good Benefits & Worklife Balance
Job Duties
- Tasked with the mission to protect the bank from internal fraud and critical data breaches
- Accountable for monitoring the email communications and attachments
- Facilitate related investigation by working closely with internal/external stakeholders across compliance and audit teams
- Solid AML/KYC/SOW experience with Private Banks
- Friendly & Supportive International Corporate Culture
- Excellent Job Security & Competitive Package
Job Duties
- Responsible for KYC and Client Due Diligence for low to high risk HNW Private Clients
- Source of Wealth assessment and review for new clients, ensuring the compliance with HKMA/AML regulatory requirement and corporate governance
- Serve as the subject matter expert to advise and review KYC/Client Life Cycle requirements for the Front Office
- Global Top Tier Law firms
- Legal Mgrs with 3-5 yrs PEQ
- IPOs & capital mkts transactions
Job Duties
- Provide legal guidance on IPO and capital markets transactions.
- Collaborate with diverse internal/external stakeholders to ensure compliance and perfection in legal documentation.
- Draft, review, and negotiate crucial legal agreements related to corporate finance.
- Multiple Expansion Headcounts with Int’l Private Banks
- COB/CDD/SOW Review in accordance to HKMA/MAS
- Excellent Job Security & Comprehensive Bank Benefits
Job Duties
- Conduct comprehensive KYC and client onboarding for high net worth clients, from low to high risk
- Perform source of wealth (SOW) review, client account profiles analysis and facilitate clearance of adverse findings
- Ensure adherence to corporate governance and HKMA/MAS AML regulatory requirements