Compliance Officer Asset Management Compliance

Compliance Officer (Asset Management Compliance)

About our client:
- A Hong Kong-based asset management firm

Location:
- Hong Kong

Responsibilities:
- Overall Compliance Affairs: Responsible for the daily compliance operations and overall compliance matters of the asset management company, ensuring full adherence to the relevant regulations of the Hong Kong Securities and Futures Commission (SFC).
- Product & Trade Monitoring: Assist in the launch of fund/asset management products, and perform compliance monitoring and review of daily trading, investment recommendations, and research reports.
- Regulatory & External Liaison: Handle day-to-day communications with regulatory authorities, and coordinate external audits/internal remediation work for the asset management company as required.
- Core Compliance & Risk Control: Oversee professional investor assessment (PI), AML/KYC due diligence, investor onboarding, compliance training, an...