Job ref no.: CT3116508-01#1128

Compliance Officer

Prudence Investment Management (Hong Kong) Limited

Benefits
  • 5-day week
  • Discretionary bonus
  • Medical plan

Location: Central, Hong Kong
Position: Permanent

 

Responsibilities:

  1. Ensure the Group and its subsidiary business in compliance with all rules, regulations and restrictions required by regulators
  2. Responsible for firm compliance monitoring and testing, including periodic internal reviews
  3. Maintenance and implementation of firm policies and procedures
  4. Managing the firm’s AML/KYC program
  5. Advising the business on compliance matters in connection with new markets or products, regulatory updates and provide periodic training to staffs
  6. Managing interactions with the relevant regulators
  7. Handling licensing matters, wall-crossing, personal dealing approval and monitoring, etc
  8. Review legal documents, including fund prospectus, agreements and liaise with lawyers, consultants, etc.

Requirements:

 

  1. At least 5 years' direct experience in Type 1,4,9 licensed corporation as a compliance officer with sound knowledge of current regulatory environment and familiar with SFC rules/regulations
  2. University degree, preferably in law, Finance, Accounting, or equivalent practical experience
  3. Experience with the compliance issues relating to Cayman or other offshore funds will be an advantage
  4. Exposure to regulations in another jurisdiction is preferable
  5. Strong interpersonal and communication skills, self-motivated, responsible and fast paced work under pressure and meet tight deadlines

 

Additional Information and Application Method:

 

We offer competitive remuneration package: discretionary bonus, 5-days work week, 15-20 days paid annual leave, medical benefit, complimentary lunch meals, miscellaneous allowance, on job training and a stable harmonious working environment. 

For more information about the company, please refer to our website www.fangyuanfh.com.

Interested parties please send your resume in English and Chinese with expected salary and notice period and click Apply Now

All information received will be kept in strict confidence and only for employment-related purpose.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3116508-01#1128
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Full-time
Experience
  • 5 years - 8 years
Career Level
  • Middle management level
Education
  • Degree