Our client is a reputable financial institution and they are currently seeking a reliable, independent , and self-driven Compliance Officer to provide comprehensive administrative and clerical support to their company.
Key Responsibilities:
• Responsible for conducting client identity and anti-money laundering (AML) checks and monitoring
• Liaise with regulatory authorities and external legal experts to handle inquiries and periodic reporting matters for private funds
• Oversee employees' trading activities
• Handle licensing and continuous professional training (CPT) affairs
• Closely monitor changes in the regulatory environment, assess the impact on the company, and provide recommendations to management
• Perform regular and ad-hoc compliance checks and audits
• Provide support for temporary projects and tasks
Requirements:
• Hold a bachelor's degree or higher, preferably in finance, accounting, law, or business administration
• Have 2-3 years of relevant work experience in an asset management company, with an understanding of the regulations set by the Securities and Futures Commission (SFC) and the Cayman Islands Monetary Authority (CIMA)
• Independent, self-driven, and flexible, with excellent organizational skills
• Strong communication and interpersonal skills
• Proficient in written and spoken English, Chinese, and Mandarin
For further details, please contact Wilfred Yu or send across your details to wy@charlottefrank.com
Job Code: WY/12467
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