Compliance Officer/Manager (Big Four Audit/Assurance experience highly preferred)

Main Responsibilities:

• Monitor daily trading activities and transactions to ensure compliance with firm policies and Hong Kong regulatory requirements
• Review and update the firm's compliance policies and procedures to maintain compliance with SFC requirements and other relevant regulations
• Conduct compliance risk assessments and recommend mitigation strategies specific to the Hong Kong asset management industry
• Perform AML/KYC review and due diligence checks on clients/service providers/online platform
• Conduct compliance monitoring programs, compile and submit periodic regulatory reports and filings and provide recommendations.
• Stay up-to-date on changes in rules and regulations and industry best practices, and update compliance programs accordingly
• Review marketing materials with regards to ensure compliance with regulatory requirements and investment schemes

Qualifications:

• Bachelor Degree with major in Law, Accounting, Finance or related discipline
• Minimum 3 years of relevant experience in Big Four, Asset Management or Financial Industry
• Thorough understanding of Hong Kong's financial regulations, including the Securities and Futures Ordinance (SFO) and other relevant laws and guidelines
• Excellent command of Mandarin/ Cantonese and English
• Excellent communication and interpersonal skills, with the ability to work collaboratively with various stakeholders

Data collected will be used for recruitment purposes only. Personal data provided by job applicants will be used strictly in accordance with the Personal Data (Privacy) Ordinance. We regret that only the shortlisted candidates will be notified.

For more information about this role, please contact Dohee Kim with your resume at +852 5424 6512 or dkim@goughrecruitment.com.hk