Asset Management Compliance Specialist

7 days ago


Hong Kong, Central and Western District, Hong Kong SAR China Ashford Benjamin Ltd Full time
Job Description:

A leading financial institution, Ashford Benjamin Ltd, is seeking a seasoned Compliance Specialist to join their Asset Management team. In this pivotal role, you will be responsible for ensuring the company's compliance with regulatory requirements and maintaining a strong control framework.

Key Responsibilities:
  • Regulatory Oversight: Provide expert advice on asset management business practices and ensure adherence to relevant laws and regulations.
  • Policies and Procedures: Review and update compliance policies and procedures to maintain alignment with Securities and Futures Commission (SFC) requirements.
  • Industry Updates: Stay current with changes in rules and regulations, industry best practices, and update compliance programs accordingly.
  • Reporting and Filings: Compile and submit periodic regulatory reports and filings to relevant authorities.
  • Interdepartmental Collaboration: Collaborate with other control functions, such as legal and internal audit, to ensure a comprehensive compliance framework.
  • Marketing Materials Review: Review and approve all marketing materials to ensure compliance with regulatory requirements and the company's branding guidelines.
Requirements:
  • Experience: 3-8 years of relevant experience in compliance at asset management or financial institutions.
  • Regulatory Knowledge: Thorough understanding of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO).
  • Communication Skills: Excellent communication and interpersonal skills, with the ability to work collaboratively with various stakeholders.

Estimated Salary: HK$540,000 - HK$720,000 per annum, depending on experience and qualifications. Benefits include a competitive compensation package, opportunities for career growth, and a dynamic work environment.



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