Our client is a sizable and listed financial institution with HQs based in China.  They provide a full range of financial services in Hong Kong and is licensed by SFC for activities of Type 1, 2, 4, 5, 6 & 9.

• Report to Group Head of Compliance and manage all compliance issues for the sector of Asset Management
• Liaise with HKEX, SFC and relevant regulatory bodies for queries and requests
• Identify and evaluate compliance risks of the operations and business activities as well as provide professional advice to the BUs to ensure all activities / processes are in compliance with regulations and internal policies
• Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments
• Review compliance policies, procedures and manuals for the BUs with effective measurements for internal control purpose
• Undertake ad hoc assignments or projects as required