Position: Senior Compliance
1. AML/KYC and Regulatory Compliance
· Assist in conducting AML/KYC procedures with various counterparties and maintain detailed and accurate compliance records.
· Stay abreast of developments in the regulatory landscape including AML/KYC, sanctions, foreign direct investments, anti-trust and data protection matters. Advise management on relevant compliance matters.
2. Investment and Asset Management Process Oversight
· Ensure all investment processes comply with both regulatory and internal guidelines.
· Perform compliance reviews on investment and asset management activities to uphold organizational standards.
3. Compliance Policy Implementation and Training
· Support the implementation of compliance policies encompassing matters relating to conflicts of interest, insider trading, anti-bribery and corruption and data protection.
· Participate in enhancing existing compliance measures and developing new initiatives.
· Facilitate compliance training sessions for employees to foster understanding and adherence to internal policies and applicable laws.
4. Operational Compliance Monitoring and Filing
· Conduct regular compliance audits and inspect various business functions to ensure compliance with established protocols and regulations.
· Conduct operational compliance monitoring and filing.
· Bachelor’s and/or Master’s degree in Law, Business, Finance or a related field.
· Relevant experience in compliance, legal, or corporate secretarial roles with recognized institutions in the financial services and/or legal professional services sector.
· A self-motivated player with a proactive learning attitude and a commitment to developing compliance expertise.
· High integrity and attention to detail.
· Fluency in both English and Chinese (verbal and written) is a must.