Job ref no.: CT3118290-01#8569

Compliance Officer

Apex Fund Services (HK) Limited

Job Description:
The purpose of the role is to work with the business and peers within the compliance function to ensure that regulatory matters are managed in a professional manner by providing support and advice. The successful applicant for this position will be responsible for the compliance function within Apex Investment Consulting (Shanghai) Co., Ltd.

This role will be located in Shanghai, China.

The Role:

  • Liaising with Regional Head of Compliance, implement, maintain and monitor adherence with the Compliance framework for Apex Shanghai operations.
  • Advise on AML/KYC/PEP and Sanction checks on client and investor files to Apex Shanghai operations team.

  • Report suspicious activity to regulatory authorities in consultation with the Regional Head of Compliance.

  • Support Apex Shanghai operation for FATCA, CRS queries from the operation team..

  • Liaise with internal departments on compliance matters and escalate urgent queries to Regional Head of Compliance.

  • Act as the MLRO (Money Laundering Reporting Officer).

  • Ensure to be up to date with all regulatory requirements for Fund managers in China.

  • Ensure anti-money laundering policies and procedures are in place and adhered to.

  • Up-date the Compliance and Anti-Money Laundering Manuals on an on-going basis.

  • Ensure on-going AML training program for all staff is completed for Apex Shanghai.

  • Prepare and present monthly compliance reporting required by Group to Regional Head of Compliance.

  • Perform AML and KYC and other compliance checking on Apex Shanghai operations.

  • Monitor the implementation of various compliance policies and procedures and conduct periodic audit.

  • Ensure order processing quality and effective service delivery.

  • Identify service and workflow improvement opportunities.

  • Assist in monitoring transfer agent’s services.

  • Handle enquiries on Investors documentation.

The Skills:

  • 2-3 years experience in a similar role incorporating the above functions.
  • Professional Compliance qualification would be an advantage.

  • An ability to work to and meet agreed deadline.

  • Excellent interpersonal and written communications skills.

  • Strong PC skills including Word, Excel and Access.

  • Good language command on both English and Mandarin.

To be successful in these roles it is envisaged you are a motivated and self driven individual eager to contribute and grow with the organization. Knowledge of financial products and environments along with prior fund industry experience will ensure your success. Critical to your ability to perform these roles will be your customer focus, attention to detail and team focus.

We offer a modern and progressive work environment. You can expect to be challenged and offered a path towards future career growth. Interested parties, please send your full resume with availability and expected salary by clicking Apply Now.

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More job information
Job ref no. CT3118290-01#8569
  • N/A
Job Function
Employment Term
  • Full-time
  • 2 years - 3 years
Career Level
  • Entry level
  • N/A