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Experienced professionals in compliance in asset management
Financial services
Latest Position and Perspective in Hong Kong

Strong growth of the sector due to economic growth and wealth accumulation in Asia, financial market liberalisation in the Mainland and government policy to propel the development of Hong Kong’s asset and wealth management business

Description of Tasks

Experienced compliance professionals in asset management with expertise in (i) compliance risk management; (ii) establishing, implementing, monitoring and reviewing compliance policies, procedures and standards to ensure the adherence of businesses to relevant regulatory requirements; (iii) handling requests from regulators; and (iv) providing compliance advice and training to management and operational departments.

Typical Qualifications

At least a bachelor’s degree in commerce, finance, business administration, economics, accounting, law or other relevant programmes and received on-the-job training and industry courses and programmes; and

At least 3 years of relevant compliance experience in asset management firms or professional firms specialized in asset management; knowledge in finance and relevant rules, regulations and guidelines of regulatory authorities including those of Hong Kong; and relevant language skills.

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