Compliance Officer

We are seeking a Compliance Officer to be responsible for regulatory matters in Hong Kong and provide compliance support and advice to the business on regulatory requirements, principles, and other compliance-related matters.

Primary Duties and Responsibilities

• Liaise with regulators and handle regulatory filings for compliance-related matters
• Handle and respond to surveys and questionnaires issued by Securities and Futures Commission
• Keep Compliance procedure manuals up-to-date to reflect applicable local regulations requirements and group policies
• Undertake regular compliance monitoring; prepare compliance reports for clients; and file fund reports with overseas regulators
• Provide support on other compliance-related matters of Hong Kong or Singapore office
• Provide support for other ad hoc activities

Position Qualifications

• Degree in Accounting/Finance/Law or related disciplines
• A minimum of 3-5 years of relevant experience in the financial services industry, preferably gained through practical experience with asset management companies and/or regulatory authorities

Key Competencies and Personal Attributes

• Strong knowledge of regulations and guidelines in Hong Kong
• Good understanding of the applicable regulatory requirements surrounding offers of investments as well as the cross-border sales and institutional marketing activities applicable regulatory requirements relating to investment offerings, cross-border sales and institutional marketing activities in Hong Kong
• General product-specific knowledge, including but not limited to unit trusts, UCITS and ETFs
• Proficiency in oral and written communication in English
• High integrity and excellent work ethics
• Detail-oriented
• A self-starter with the ability to work independently and in a group setting collaboratively
• Ability to multi-task and prioritise
• Ability and willingness to adapt to the evolving business needs of the company and develop new skills and knowledge

Benefits

• Generous annual leave plus flexible paid time off
• Hybrid work schedule
• Learning and development programs
• Health & wellbeing benefits
• Parental Leave benefits
• Employee stock purchase plan (if applicable in your region)