Description

• • Responsible for handling day-to-day business compliance matters, including licensing applications, sales and marketing materials review, advisory to internal team on client onboarding and AML/KYC matters
  • Assist in handling investment compliance matters, including pre-trade and post-trade monitoring in investment management system and counterparty due diligence. Proficiency in Charles River IMS (or other reputable IMS) is a strong plus
  • Handle regulatory reporting on firm and fund level, including but not limited to SFC authorized fund data report, SDI, LOP, short position reporting and takeover code reporting
  • Handle enquiries and assist the Compliance team as central contact point for regulators inspections and visits, internal and external audit reviews etc
  • Report on a regular basis to management of any compliance issues and / or regulatory changes which may impact the company
  • Conduct research and provide update on compliance requirements and regulations to relevant staff and implement applicable compliance policies and procedures
  • Design and conduct regular compliance monitoring & surveillance procedures and checking
  • Update the company's compliance manual and important compliance policies in light of changes in rules and regulations
  • Deliver compliance training to employees
  • Handle ad-hocs projects from compliance / regulatory perspective

• Bachelor Degree with major in Accounting, Finance or related discipline
• Minimum 3 to 5 years of experience in handling compliance matters in fund houses, relevant experience with regulatory bodies (e.g. SFC) is preferred.
• Familiar with SFC codes and guidelines and Securities and Futures Ordinance
• Solid experience in handing enquiries from regulators, such as SFC and MPFA
• Good analytical and communication skills and able to work independently
• Self-motivated and a team player
• Able to handle multiple tasking
• Excellent command of spoken and written English and Chinese is required. Proficiency in Putonghua is a plus