Officer, Employee Compliance

Our client, a top-tier fund house, is looking to hire an Officer, Employee Compliance to join their APAC Compliance team in Hong Kong.

Job Responsibilities:

• Facilitate and monitor compliance with the firm's Code of Conduct and other core compliance policies.
• Review employee disclosures, personal account dealings, and gifts and entertainment requests to identify potential conflicts of interest.
• Serve as the primary point of contact for general compliance inquiries from employees.
• Assist with licensing, examination, and registration filings with regulatory authorities.
• Monitor compliance with applicable securities laws and prepare reports for senior management.

Job Requirements:

• Bachelor's degree with 5+ years of experience in the financial services sector, preferably in a licensing, employee compliance, and registration role.
• Exposure to gifts and entertainment is beneficial.
• Ethical and principled with strong integrity.
• Excellent analytical skills and attention to detail.
• Proficiency in English (Chinese language skills are a plus).