Compliance Manager

3 weeks ago


Hong Kong, Hong Kong SAR China ConnectedGroup Limited Full time

Compliance Manager (Asset Management)

Our client is a fast-growing emerging asset management company with strong absolute and risk-adjusted performance. We are now seeking a talented individual to join them as a Compliance Manager for their Investment Services team.

Position Responsibilities

  • Directly report to the COO and CCO.
  • Conduct daily compliance monitoring in accordance with existing ARP Compliance policies, covering areas such as personal account transactions, gifts, entertainment, and conflict management.
  • Offer support and knowledge on AML/KYC issues for both new and existing clientele.
  • Comprehend and assist with fulfilling global marketing compliance obligations.
  • Oversee, audit, update, and assist with regulatory and legislative changes, including but not limited to SFC, SEC, fund 40Act, and UCITS mandates.
  • Detect, handle, and mitigate compliance, regulatory, and reputational risks by assessing and enhancing ARP Compliance policies.
  • Aid with internal and external audits and collaborate on control testing with Compliance Consultants.
  • Actively engage in the Compliance Committee, including document and minute preparations.
  • Ensure timely completion of necessary regulatory notifications and reporting submissions.
  • Investigate potential compliance infractions or violations with the help of internal and external stakeholders.
  • Conduct training focused on regulations and foster compliance awareness and culture where necessary.
  • Manage crucial compliance projects and handle ad hoc assignments.

Position Requirements

  • Bachelor's degree or higher, a legal background is advantageous.
  • Approximately 5-8 years or more of relevant financial experience.
  • Prior experience in hedge fund or compliance positions is preferred.
  • Comprehensive understanding of regulatory and compliance standards in APAC and worldwide.
  • Proficiency in Microsoft Word, PowerPoint, Outlook, Adobe PDF, and moderate proficiency in Excel.
  • Native-level fluency in both spoken and written English.
  • Proactive, dependable, self-driven, capable of multitasking and working independently.
  • Keen attention to detail.
  • Strong foresight to anticipate and mitigate compliance challenges before they occur.
  • Integral role in the ongoing enhancement of the Compliance framework.
  • Collaborative team player with a strong work ethic and sense of ownership.
  • Adaptable to shifting priorities and organizational needs.
  • Exhibits a high degree of maturity and integrity.

Interested individuals can apply now and send CV Vivian.wong@connectedgroup.com. Only relevant candidates will be contacted

For a more comprehensive list of our vacancies, please visit: www.connectedgroup.com



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