Vice President

4 days ago


hong kong, Hong Kong SAR China HuaAn Asset Management (Hong Kong) Limited Full time

Responsibilities Establish, implement and monitor compliance policies and procedures Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties Act as the Manager-in-charge of Compliance, Risk Management, AML and IT functions Formulate, review and update the operational procedures to ensure full regulatory compliance for internal & external audits and regulatory inspections Pre-trade Risk Control & Post-trade Compliance Monitoring Supervise fulfilment of SFC license holders’ requirements of CPT training Provide legal and compliance advice or support to the teams Perform all such other duties as assigned by the management team Requirements Bachelor’s degree holder or above in Law, Finance, Accounting, Business or related disciplines Minimum 5 years of solid experience in asset management in capacity of compliance roles Having sound knowledge of SFO and SFC codes & guidelines, CRS regulations and guidelines of relevant regulatory authorities and risk management control Excellent command in both written & spoken English, Cantonese & Mandarin Proficient in MS office, Bloomberg knowledge is a plus Excellent interpersonal and communicative skills A good team player, self-motivated, detail-oriented and able to work independently Candidate with less experience will be considered as Vice President - Compliance Immediate available is preferred #J-18808-Ljbffr



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