Category : Banking & Finance
Work Type : Permanent / Full Time
Location : Hong Kong
- Traditional PE investment firm serving clients across APAC
- Licensed & regulated by the SFC in HK, Prefer experience from 1,4,9 companies
- Monitor day-to-day compliance responsibilities
Our client is a European investment firm with a strong presence in the APAC region, their investments span globally and are focused on the IT, Tech, and Financial related industries. This non-traditional and modern firm has around 50 people across Asia and has an excellent collaborative environment.
Responsibilities
- Ensure adherence to SFC licenses for financial advisory and fund management, specifically types 1, 4, and 9.
- Assist in the management of compliance matters, including engaging with regulators and external auditors for compliance audits.
- Prepare compliance control reports, identifying risks and making recommendations for necessary changes.
- Stay current with policies, regulations, and procedures concerning securities, fund management, client onboarding, anti-money laundering, anti-bribery and corruption, and other relevant areas.
- Provide guidance on laws, regulations, and ethical behavior to employees, senior management, and the board.
- Monitor day-to-day compliance responsibilities, which include regulatory reporting, licensing, anti-money laundering (AML), know your customer (KYC), and general compliance duties.
Requirements
- 4-6 years of experience in the finance industry and/or fund management companies is REQUIRED.
- You should have experience in a 1,4,9 Licensed company.
- Experience from PE, Asset Managment, Fund Management, Securities is REQUIRED.
- Bachelor’s degree or further in law, compliance and regulation, or any related discipline.
- Fluent in spoken and written English.
- Be able to work in a small team environment – VERY IMPORTANT.
- Involvement in projects that enhance critical thinking skills, problem-solving abilities, product development, financial modeling, and other key competencies.
For more information about this role please contact Alex Beattie at +852 3892 2368 or email to abeattie@goughrecruitment.com.hk.
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