Background: Engaged in the first (securities trading), fourth (securities advisory) and ninth (asset management) regulated activities, a well-known South Korean fund management company, managing a total of2470 billion dollars in assets

Compliance AM / Manager

Job Description

• Review and update the Firm's Compliance Manual and other internal policies and procedures to ensure alignment with regulatory requirements and industry best practices

• Handle license applications, notifications, enquiries, surveys and maintain relevant records

• supervise fulfilment of SFC authorised funds requirements, e.g. assist in fund application, prepare relevant announcements, regular SFC reporting, KFS andprospectuses updates.

• Conduct pre-trade compliance control and post-trade compliance monitoring

• Monitor and review compliance and risk matters related to operations and investments, ensuring ongoing adherence to AML requirements

• Make the company review the business continuity plan and test that it is appropriate or sufficient enough in response to any forseeable significant business disruptions

• Review and approve marketing materials to ensure that the contents were true, accurate, completed and not misleading and appropriate risk warnings were included

• Conduct ongoing compliance tasks, e.g. staff dealing, compliance training, CPT records maintenance

• Coordinate with relevant stakeholders for internal audit/annual review of the Firm's controls on an annual basis

• Provide assistances on ad-hoc projects as assigned by the management team

• Conduct research on topics which are of interest to the senior management

• Compile administrative reports for the senior management

• serve as liaison between external partners (auditors, external legal teams and regulators)

Key Requirements for the Position:

A bachelor’s degree in Law, Finance, Business Administration, or a related field.

2-5 years of experience in a compliance, legal role. preferably within the asset management (buy-side) industry.

Strong understanding of regulatory frameworks and a keen eye for detai

Responsibilities:

We are looking to hire a Compliance Manager / Assistant Manager (Core Compliance) based in Hong Kong for the APAC region (Singapore, Australia, and Hong Kong). The position will report regionally to the Head of Core Compliance (APAC) based in Singapore. The main responsibilities for this role include:

• Liaising and communicating with regulators

• Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to brokers in Hong Kong, Singapore, Australia

• Drafting and implementing policies and procedures to comply with regulatory requirements

• Preparing written responses to regulatory enquiries

• Managing relevant regulatory inspection and audit reviews, including developing and implementing the relevant remedial action plans to address any findings