Apex Hong Kong
The purpose of the role is to work with the business and peers within the compliance function to ensure that regulatory matters are managed in a professional manner by providing support and advice. The successful applicant for this position will be responsible for the compliance function within Apex Fund Services (HK) Ltd.
- Liaising with Regional Head of Compliance, implement, maintain and monitor adherence with the Compliance framework for the Hong Kong operations.
- Advise on AML/KYC/PEP and Sanction checks on client and investor files to the Hong Kong operations team.
- Report suspicious activity to Regional Head of Compliance.
- Support Hong Kong operation for FATCA, CRS queries from the client.
- Liaise with internal departments on compliance matters and escalate urgent queries to the MLRO (Money Laundering Reporting Officer).
- Ensure to be up to date with all regulatory requirements for Fund managers in Hong Kong.
- Ensure anti-money laundering policies and procedures are in place and adhered to.
- Up-date the Compliance and Anti-Money Laundering Manuals on an on-going basis.
- Ensure AML training program for all staff is completed in Hong Kong.
- Prepare and present monthly compliance reporting required by Group to Head of Compliance.
- Perform AML and KYC checking on Investors and follow up on outstanding.
- Ensure order processing quality and effective service delivery.
- Identify service and workflow improvement opportunities.
- Assist in monitoring transfer agent’s services.
- Handle enquiries from Investors.
- 2-3 years experience in a similar role incorporating the above functions.
- Professional Compliance qualification would be an advantage.
- An ability to work to and meet agreed deadlines.
- Excellent interpersonal and written communications skills.
- Strong PC skills including Word, Excel and Access.
To be successful in these roles it is envisaged you are a motivated and self driven individual eager to contribute and grow with the organization. Knowledge of financial products and environments along with prior fund accounting experience will ensure your success. Critical to your ability to perform these roles will be your customer focus, attention to detail and team focus.We offer a modern and progressive work environment. You can expect to be challenged and offered a path towards future career growth. Interested parties, please send your full resume with availability and expected salary to email@example.com.
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