Compliance Associate (Asset Management)

TL;DR

Compliance Associate (Asset Management): Providing regulatory advice and risk mitigation for Asset Management business operations with an accent on regulatory implementation and monitoring. Focus on ensuring compliance with global laws, managing regulatory inquiries, and developing internal policies to mitigate reputational risk.

Location: Hong Kong (Onsite)

Company

A leading global investment banking, securities and investment management firm founded in 1869.

What you will do

• Provide daily regulatory advice to Asset Management business teams regarding portfolio management and investing.
• Implement and monitor regulatory changes to ensure adherence to new laws and rules.
• Coordinate regulatory reviews, inspections, and official inquiries.
• Review marketing materials and other documents for compliance with internal policies and regulations.
• Develop and maintain comprehensive compliance policies and procedures.
• Collaborate with Technology, Legal, and Internal Audit to enhance control developments.

Requirements

• Experience in Compliance, Legal, or other risk control functions, preferably in asset management.
• Fluency in Mandarin is required.
• University degree holder.
• Proven ability to work independently and collaborate effectively in a team.
• Strong interpersonal skills with the ability to build consensus among diverse stakeholders.
• Ability to multi-task and work under pressure.

Nice to have

• Fluency in Cantonese.

Culture & Benefits

• Strong commitment to diversity and inclusion in the workplace.
• Access to extensive training and professional development opportunities.
• Support through firm-wide networks and wellness programs.
• Mindfulness programs and personal finance offerings.