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Asset Management - Senior Compliance Associate

Larson Maddox Hong Kong
Posted 1 month ago In-Office Job Permanent HKD400000 - HKD400001 per annum

CLIENT BACKGROUND
Our client is one of the largest asset management firm in the APAC Region. Has a team of 6 and are looking for a candidate for General and Regulatory Compliance experience.

JOB RESPONSIBILITY
* Handle corporate and individual SFC licensing applications;
* Arrange compliance trainings and keep track of training records;
* Review client due diligence (KYC) documents submitted by sales on new and existing clients;
* Review sales and marketing materials;
* Facilitate sales to conduct counter-party/ client due diligence;
* Monitor personal account dealings and handle related tasks;
* Handle projects and tasks relating to AML and CRS/FATCA;and
* Handle other general compliance matters or assist projects as assigned from time to time.
* Support the Head of Legal and Compliance if there is any general SFC enquires or Inspection

JOB REQUIREMENTS
* University graduate, preferably with finance, accounting or law degree
* Relevant experience in financial institution, preferably asset management company (if not, Securities firm is also acceptable)
* Good interpersonal communication skills
* Good team player while being able to work independently
* Details-oriented
* Proficient in English, Mandarin and Cantonese

job_description_image
Job ID  PR/495008
ABOUT COMPANY
New York, United States
Compliance / Legal
At Larson Maddox, we give essential guidance to leading firms by connecting them with the best In-House Counsel talent for their Regulatory & Legal ne...
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