Compliance Office

Job Title: Compliance Office
Contract Type: Permanent
Location: Hong Kong
Reference: JW-190312-2
Contact Name: Justin Wan
Contact Email:
Job Published: March 12, 2019 15:07

Job Description

Compliance Office, Asset Management (Prestige Foreign IB)


Our client, a reputable Investment Bank, now is looking for a Compliance Office as below.



  • Maintain up to date knowledge and understanding of the applicable regulatory environment

  • Monitor procedures, systems and controls to ensure compliance with GAM ASIA’s and regulatory policies and guidelines, and risks are minimized

  • Evaluate the impact of regulatory developments that could impact GAM ASIA, and where appropriate, support the development of new control mechanisms

  • In charge of issue-oriented and comprehensive compliance reviews and reporting, orally and in writing, to other compliance staff and senior business leadership on reliable assessment and practical business recommendations

  • Monitor that all necessary actions are taken to meet regulatory and operational compliance requirements. Ensure that all escalations and sign-offs are in place. Review and provide input and coordinate the process

  • Review progress to plans, and develop, communicate, delegate and actively participate in the implementation of actions necessary to correct internal and external issues

  • Support the Head of Global AML, GAM and the MLRO to ensure the AML Program achieves AML compliance outcomes



  • Undergraduate degree / qualification (MBA, CA or CFA) preferred

  • Minimum 3-5 years of experience in the Compliance / Controls / Audit areas of expertise in the Financial Industry

  • Thorough knowledge and expertise of investments, financial services industry and applicable laws, regulations and practices; risks associated with the line of business and progressive methods used to manage risks; corporate governance, regulatory compliance and disclosure of reporting issues

  • Strong analytical and problem-solving skills and an ability to assimilate a large amount of information for purposes of identifying value-added observations

  • Well-developed oral and written communications skills; ability to communicate effectively with senior management and peers


Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: and


Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.