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You will be updated with latest job alerts via email This is a permanent position at a wellestablished investment company. You will play a critical role in supporting the companys compliance efforts across various facets including AML/KYC monitoring regulatory developments investment process oversight and corporate policy enforcement. This position offers the opportunity to work closely with both internal teams (including headquarters and other overseas offices) and market leading financial institutions ensuring that the company adheres to all applicable regulatory and internal compliance bestinclass practices and standards.
1. AML/KYC and Regulatory Compliance
Assist in conducting AML/KYC procedures with various counterparties and maintain detailed and accurate compliance records.
Stay abreast of developments in the regulatory landscape including AML/KYC sanctions foreign direct investments antitrust and data protection matters. Advise management on relevant compliance matters.
2. Investment and Asset Management Process Oversight
Ensure all investment processes comply with both regulatory and internal guidelines.
Perform compliance reviews on investment and asset management activities to uphold organisational standards.
3. Compliance Policy Implementation and Training
Support the implementation of compliance policies encompassing matters relating to conflicts of interest insider trading antibribery and and data protection.
Participate in enhancing existing compliance measures and developing new initiatives.
Facilitate compliance training sessions for employees to foster understanding and adherence to internal policies and applicable laws.
4. Operational Compliance Monitoring and Filing
Conduct regular compliance audits and inspect various business functions to ensure compliance with established protocols and regulations.
Conduct operational compliance monitoring and filing.
Bachelor s and/or Master s degree in Law Business Finance or a related field.
Relevant experience in compliance legal or corporate secretarial roles with recognised institutions in the financial services and/or legal professional services sector. Recent graduates with strong academic records in law business or finance are also encouraged to apply.
A selfmotivated player with a proactive learning attitude and a commitment to developing compliance expertise.
High integrity and attention to detail.
Fluency in both English and Chinese (verbal and written) is a must.
Full Time
Savings Institutions / Financial Services / Real Estate Agents and Brokers