Risk & Compliance Manager

  • Competitive
  • 深圳, 广东省, 中国
  • 5-7 年
  • Achievers Recruitment Limited
  • 2018-02-20 2018-02-20

Our Client is a HK based asset management company specialized in Asian equities and fixed income; they deliver quality investment solutions and client services to their clients and offer comprehensive investment solutions to retail, institutional and MPF clients with assets under management and advisory of US$8 billion in 2016. In order to cope with the business expansion, they are now looking for a talented Compliance professional to join their team in their Shenzhen Office.

Duties and Responsibilities:

  • Set up the compliance, risk and control framework, and ensure the company is in compliance with applicable laws and regulations, especially those related to private fund managers
  • Develop and review risk and compliance policies and procedures to ensure compliance with regulatory and group requirements
  • Handle general compliance matters including those related to AML, FATCA, CRS
  • Monitor investment guidelines and restrictions
  • Review agreements, offering documents and marketing materials
  • Provide advice to business in relation to risk and compliance matters
  • Investigate and report on risk incidents and  compliance violations
  • Liaise with all internal/external auditors and regulators on reviews and inspections, and coordinate these with all relevant stakeholders
  • Conduct regular compliance reviews
  • Develop and provide risk and compliance training to staff


  • University graduate with at least 5 working experience in compliance, audit, or regulatory work, preferably in the asset management, securities or banking environment
  • Familiar with all relevant rules and guidelines in relation to the fund management industry in China
  • Passed AMAC practitioners qualification examination is a plus
  • Proficiency in both spoken and written English and Chinese

Interested parties please send your resume to cv-fs@achievers.com.hk

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