- 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......
- Global Ranking Int’l Law Firms
- Trilingual Legal Secretary for Capital Mkts & PE
- Travel Arrg, Legal Documentation & Billing
Job Duties
- Report to Partners with specialization in Financial Institution, M&A and Investment Management transactions
- Accountable for calendar management & demanding travel arrangement
- Manage intensive back to back meeting schedules across GC, AP and HQ
- Top Ranking Pure Play Global Private Bank
- Oversight Regulatory Affairs & Central Compliance
- Excellent job security and worklife balance
Job Duties
- As part of the core team members to oversight Regulatory Affairs Compliance issues
- Assume the subject matter expert on any regulatory changes and faciliate the proper implementation of procedures & policies
- Provide active advisory to business and senior management on any regulatory changes and implications to business
- Global Industry Leader with over 13000 employees
- APAC In-House Legal Transaction Nego & Advisory
- Hybrid Work Mode & Worklife Balance
Job Duties
- Report to the North Asia Regional Head of Legal Counsel
- Key member of transaction team to provide legal guidance & advisory support to complex structures
- Accountable for end to end phases from reviewing, derivatives structuring, legal drafting, negotiation and implementation
- Global European Private Bank
- HKMA Compliance Monitoring & Control
- Worklife Balance & Excellent Job Security
Job Duties
- Perform annual risk assessment to identify key risk areas that need to be monitored.
- Report to North Asia Head of Compliance
- Accountable for HKMA regulatory risk assessment
- SFC Regulated Global Asset Manager
- KYC/CDD/AML for New & Periodic Review
- Friendly International Culture & Good Hours
Job Duties
- As part of the AP Distribution Department to oversight regional KYC/CDD function
- Accountable for managing new and periodic CDD/KYC assessment for low to high risk institutional and intermediaries’ clients
- Conduct PEP, sanctions, adverse news and STR review etc.