We are seeking a detail-oriented Compliance Associate / Manager to join our team. The successful candidate will be responsible for all compliance matters including AML and regulatory compliance matters.

Client Details

Our client is a boutique size investment management firm headquartered in Asia with offices globally. They mainly focus on private equity and private funds with over 1billion in AUM.

Description

As a Compliance Associate / Manager, your main responsibilities will include:

• Developing and overseeing control systems to prevent violations of regulations and internal policies and will report directly to their COO
• Conduct AML/KYC duties and CTF checking when necessary
• Assist in SFC regulatory matters for type 1 4 9 including licensing, risk assessment, and filings
• Take part in regulatory duties with CIMA, MAS, and SEC when necessary
• Reviewing the work of colleagues when necessary to identify compliance issues and provide advice or training
• Keeping abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control
• Preparing reports for senior management and external regulatory bodies as appropriate

Profile

A successful Compliance Associate / Manager should have:

• A degree in law, finance, business administration or related field
• 3-7 years of buyside compliance experience from private equity and/or private funds
• Must have experiences working with the CIMA rules and regulations
• Excellent knowledge of reporting procedures and record keeping
• Must be able to read and write and speak good English

Job Offer

• Excellent opportunity to work in the buyside industry in Hong Kong
• broad exposure role
• international exposure for regulations

We welcome all qualified candidates who are passionate about compliance and financial services to apply. This is a fantastic opportunity to join a leading company in the industry and take your career to the next level.

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Monica Wong on +852 2848 4789.