Senior Compliance Consultant
2 weeks ago
As a Senior Compliance Consultant at Be Myjob Company Limited, you will play a crucial role in ensuring the company's compliance with regulatory requirements. The successful candidate will have a minimum of 8 years of working experience in Asset Management Compliance or a regulator.
They must be proficient in written and spoken Mandarin, English, and Cantonese. Good interpersonal and communication skills, strong analytical skills, and ability to work independently and collectively when needed are essential.
The ideal candidate will review and approve marketing materials associated with private funds and SFC authorized funds. Perform daily pre-trade and post-trade monitoring, promptly reporting any investment guideline breaches.
Manage various SFC regulatory reporting requirements, including Annual Return, BRMQ, surveys, and authorized funds' statistics. Aid in creating and implementing compliance-related policies and internal control procedures. Conducting KYC and AML reviews for client onboarding will also be part of your responsibilities.
Job Function:- SRC type 9 regulated activity
- Marketing material approval
- Regulatory reporting
- Compliance policy development
- KYC and AML review
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