Compliance Officer Asset Management

Do you want to take part to the international growth of an Asset Management company?
Do you want to leverage on your expertise to have an impact on our organisation?

The Compliance Officer Asset Management in Hong Kong will be part of the Global Asset Management Compliance Team, which offers development opportunities in a successful and diverse environment. We observe high standards of individual behaviour and business conduct and as the second line of defence, we work closely with the business to support good compliance practices within the firm.

Your opportunity

  • Disseminate the compliance culture within the firm and provide input on SFC and MAS regulatory requirements
  • Ensure compliance of the Key Business Lines (Sales & Marketing, Investment Research and Advice, and Trading Desk) with regulatory standards. Review marketing materials and work with the business to provide regulatory guidance on marketing and cross border sales activities in Asia
  • Help setting up the local hub of a global execution desk and implement compliance controls with regard to the trading activities
  • Identify compliance risks and assess the adequacy and effectiveness of internal controls
  • Perform the compliance monitoring program
  • Draft, update and implement local and global policies and procedures, including the Compliance Manual
  • Liaise with internal and external audit as well as external law firms and actively contribute to address requests from regulators
  • File SFC applications and reports
  • Ensure adherence to law, rules and standards in Hong Kong and Singapore with emphasis on the following:
    - AML/CFT and documentation and filing of clients
    - Conflicts of interest
    - Inducements
    - Research
    - Personal Account Dealing
    - Order handling, execution, allocation and recording
    - Market abuse and misconduct
    - Remuneration
    - Investor complaints
  • Data protection and professional confidentiality
  • Training and education of staff

 

You bring

  • Master of law or equivalent, or Compliance Officer certificate and compliance experience
  • At least 5 - 7 years of experience as Compliance Officer in the Financial Services/AM Industry in an institutional context in the APAC region, with a focus in Hong Kong and Singapore
  • Excellent English skills

You are

  • Team player, results and solution oriented, self-directed and precise worker
  • Able to work in a standalone position with daily interactions with the Compliance Teams located overseas
  • A reliable and trusted person

 

Céline Lüssi is looking forward to receive and review your application.

Please apply via our career portal. For this position, please note that we do not consider applications from recruitment agencies.

If you have any question you can contact us through our contact form.

 

Location

Hong Kong AM / 1901 Gloucester Tower, The Landmark, 15 Queen's Road