Our client, an established asset manager with SFC Type 1 4 9, is currently looking for a Compliance Manager to monitor their daily operation

Responsibilities:

• Draft, review and negotiate transactional legal documents for investment transactions
• Review business agreement and commercial contracts
• Work closely with external legal counsel on legal matters
• Monitor all compliance issues of the company, including general compliance and investment compliance
• Conduct investigation on suspicious transaction cases
• Build and strengthen the in-house compliance & risk management framework
• Roll out compliance policies & operating guidelines
• Provide AML/KYC advisory and operational support
• Perform periodic review on staff’s personal dealing pre-clearance requests and reconciliation
• Ensure all business units are in full compliance with the relevant laws, rules and regulations
• Develop and provide compliance training

Requirements

• Bachelor degree in Law/ Banking/Finance or any related disciplines
• Minimum of 5 years relevant experience in financial industry or SFC type 149 companies in compliance/legal
• Strong knowledge of SFC regulations
• Sound knowledge of listing rules, takeover code
• Ability to work under pressure, with strong communication and analytical skills
• Fluency in English and Mandarin is essential

Please email your full resume in MS Word format to info@connexesearch.com quoting the job reference J1137 in the subject field. Your interest will be treated in strict confidence. Only shortlisted candidates will be notified.