Compliance Manager

3 days ago

Hong Kong Island, Hong Kong SAR China China Universal Asset Management (Hong Kong) Company Limited Full time

Compliance Manager / Assistant Compliance Manager We are a Hong Kong based asset management company wholly owned by a top‑tier asset management firm in China and looking for highly motivated professionals to join our compliance team. Responsibilities Develop, implement, and maintain compliance program in accordance with regulatory requirements and internal policies; Provide professional advice to senior management and business units on statutory compliance, practical matters and identifying any potential risks; Responsible for implementing and executing investment compliance program for the investment and trading related activities; Formulate and update internal policies and procedures to ensure relevant compliance standards are complied with; Conduct risk assessments and implement appropriate measures to mitigate identified risks; Review marketing materials and webpage for adherence to regulatory requirements; Provide compliance training to employees to ensure awareness and adherence to regulatory requirements and internal policies and procedures; Stay up-to-date on regulatory developments and industry best practices to ensure the compliance program is effective and compliant; Handle licensing matters, enquiries, surveys and reports as required by the regulators and other stakeholders as necessary; Handle ad hoc projects assigned. Qualifications Bachelor degree or above in Finance, Accounting or Law or a related discipline; Minimum 3 years of relevant compliance/risk management experience with asset management firms and/or regulatory bodies; candidate with less experience will be considered as junior position; Solid understanding of applicable laws, rules and regulations governing the asset management industry such as SFO and FMCC; Familiar with Bloomberg Terminal including CMGR and VMGR; Self‑motivated, detail‑oriented, analytical mind, excellent interpersonal and communication skills, able to work independently and to deal with different stakeholders; Strong command of written and spoken English and Chinese (both Mandarin and Cantonese). HuaAn Asset Management (Hong Kong) Limited #J-18808-Ljbffr

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