Argyll Scott is partnering with a growing Swiss-based Investment Advisory firm (regulated by SFC) to look for a high calibre compliance associate.
Responsibilities
- Report to the head of compliance
- Develop and oversee the Compliance Framework
- Enhance compliance culture and standards and raise awareness of regulatory requirements and compliance policies
- Establish, implement and monitor compliance policies, procedures and standards
- Assist in SFC reporting, licensing, AML, KYC and general compliance duties
- Keep abreast of the latest regulatory requirements
- Organize internal compliance training for employees and supervise CPT training
- Present recommendations to management for improvements
Requirements
- Degree holder in Risk Management, Finance or related disciplines with professional qualifications a plus
- Minimum 4 years of related compliance experience in an in-house environment
- Big 4 candidates with compliance project experience in buy-side will also be considered
- Good communication skills in English, Cantonese and/or Mandarin language
For further details, please contact Karen Yung at +852 3695 5184 or at kyung<@>argyllscott.com.hk
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