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Senior Compliance Associate

2 weeks ago

Hong Kong, Central and Western District, Hong Kong SAR China Polymath Search Full time
Responsibilities and Requirements
  1. Monitoring and advising on regulatory compliance matters for SFC licensed entities (Type 1 & 4).
  2. Preparing license applications, conducting regulatory filings, and coordinating with local regulatory officials as necessary.
  3. Developing, maintaining, and testing compliance processes to ensure adherence to applicable laws, regulations, and firm policies.
  4. Managing stakeholders across the firm's global offices.
  5. Bachelor's degree or above with 3-6+ years of compliance experience gained from a global asset manager/compliance firm or regulatory body in Hong Kong.
  6. Knowledge and experience with SFC (Type 1,4) licensed entities is a plus.

Application Instructions

If you have relevant experience and are interested in this opportunity, please forward your CV to us for consideration. We regret that only shortlisted candidates will be contacted.