Compliance Manager, Asset Management Department

Job Highlights:

1. Work as the 1.5 line of compliance within asset management department.

2. Good understanding in regulatory requirements in relation to Types 1, 4 and 9 RA

3. Solid knowledge in asset management, funds, and investment products

Responsibilities:

1. Handle all assigned compliance works, including providing compliance support, products and policies review, fund offering and governing documents review as well as sales and marketing materials, etc.

2. Implement the Chinese Walls policy to manage the conflict of interest between departments.

3. Work closely within business units for implementation of compliance related projects, communicate with Legal Compliance Department and Regulators.

4. Conduct compliance testing and deliver compliance trainings.

5. Identify compliance risks and to build solution to mitigate.  

6. Handle ad-hoc assignments as delegated from time to time.  

Requirements:

1. Degree holder in Law, Finance and Accounting or other related discipline.

2. 5 to 7 years relevant working experience in banks or financial institutions.

3. Proficient in both written and spoken English, Putonghua and Cantonese.

4. Display a strong sense of responsibility, proactive, and attention to detail, and able to work independently.

5. Good interpersonal and communication skill.

Information :

• Company : Industrial Bank Co., Ltd.
• Position : Compliance Manager, Asset Management Department
• Location : Central and Western Distr., Hong Kong Island
• Country : HK