Compliance Officer/Compliance Manager

Da Cheng International Asset Management Co., Ltd. (hereinafter referred to as "DC International" or the "Company"), established on March 19, 2009 with a registered capital of HK$130 million, is a wholly-owned subsidiary of Dacheng Fund Management Co., Ltd. set up in the Hong Kong Special Administrative Region of the Peoples Republic of China. The Company, which is one of the first Chinese fund companies to set up subsidiaries in Hong Kong, actively expands cross-border business and global investment business while staying committed to building a global investment platform and establishing itself as an “overseas investment pioneer" and a "global Chinese concept investment expert".

Da Cheng International has obtained a full set of licenses for cross-border and overseas businesses, and is licensed by the Hong Kong Securities and Futures Commission to carry out Type 1 regulated activity (dealing in securities), Type 4 regulated activity (advising on securities) and Type 9 regulated activity (asset management). In addition, the Company also possesses RQFII/QFII qualification. It is among the first companies to obtain the China Securities Regulatory Commission's qualification of overseas investment advisors for Hong Kong Stock Connect in October 2018.

Compliance Officer/Compliance Manager

Responsibilities:

1. Perform day-to-day investment guideline management activities in the compliance module in Bloomberg AIM, able to independently code rules and set up all investment restrictions in the system, handle daily pre-/post- trade monitoring and clear the intraday transaction alerts.
2. Work closely with the Investment Team/Trading Desk to provide timely and strong supports for their ongoing business requirements and daily transactions on investment guideline management controls. Pay full attention to the compliance of daily operation across investment management functions, promptly report and escalate compliance risks in accordance with the internal policies and procedures once they are detected
3. Assist to review and monitor the Companys ongoing and new business in compliance with requirements of relevant regulatory bodies. Work closely with product team and participate in the launch of new products, maintain ongoing fund documentations, co-operate with internal and external counterparties across various projects.
4. Assist in develop and implement compliance manual, procedures and monitoring programs to ensure they reflect current regulation, industry best-practice, and changes in business structure and activities.
5. Act as the key contact person between the Company and parent company based in Shenzhen, handle the enquiries raised from Compliance Department of parent company, timely prepare and submit regulatory reports as requested by the parent company, AMAC, CSRC and other regulators in PRC.
6. Review marketing and communication materials/ presentations to ensure compliance with regulatory requirements and handle regulatory approval timely and efficiently.
7. Assist in dealing with corporate licensing related matters and deal with SFC.
8. Handle staff personal account dealing and conduct periodic reporting
9. Perform the due diligence process for clients, distributors, brokers and vendors. Assist in providing AML advisory support to the front lines.
10. Negotiate master agreement terms with various counterparts while at the same time act as the company's hub to liaise with external legal advisors.

Requirements:

1. University graduate in Law with 3-5 years relevant working experience.  Candidate who has more legal and compliance experience in licensed financial institution will be considered as Senior Compliance Officer or Compliance Manager.
2. Good command of written & spoken English and Chinese (both Cantonese and Mandarin), excellent Chinese writing skills is highly preferred.
3. Proficiency in PC skills and MS office applications, such as Excel and MS Word, experience in Bloomberg/Charles River/O32 would be an advantage but not essential.
4. Logical thinking with strong sense and knowledge on compliance, risk control and regulatory requirements.
5. Strong analytical and problem-solving abilities and attention to detail, ability to work independently.
6. Ability to build relationships of trust with senior management in the business and from Compliance and other oversight and control teams, act as a good team player.
7. Familiar with regulatory environment in financial industry, ideally asset management.
8. Candidate with growth mindset and willingness to learn is a must.

Employee Benefits:

As a caring company, we offer comprehensive wellness programs, flexible working environment and career development opportunities to employees. Our employee benefits include:

• 5-day Work
• Performance Bonus
• Annual Leave and Company Holidays
• Group Medical Insurance
• MPF
• Transportation allowance, Telephone allowance

合規主任/合規經理

工作職責：

1. 負責每日的投資合規監控，能夠獨立設置彭博風控規則，監察事前-事中-事後交易，清除交易警報；
2. 與投資、交易團隊緊密合作，因應持續的業務需求，為其在投資管理控制指引上提供及時可靠的合規支援。充分關注投資管理職能部門日常運營的合規性，根據內部政策和程式及時報告並上報識別到的合規風險；
3. 根據監管機構的要求，協助審查和監控公司的現有業務和新業務。與產品團隊密切合作，參與新產品的推出，維護帳戶的持續檔，與日常專案的內部和外部對手方保持緊密合作；
4. 協助制定和實施合規手冊、程式和監控指引，確保反映當前法規、行業最佳實踐及業務結構的變化；
5. 作為本公司與深圳母公司的主要聯絡人，處理母公司合規部提出的質詢，按母公司、基金業協會、中國證監會等監管機構的要求，及時編制和提交各類監管報告；
6. 審查市場行銷材料以確保符合監管要求，及時有效地批准及跟進各項材料；
7. 協助處理公司、個人牌照相關事宜及處理證監會其他查詢；
8. 審查員工個人帳戶交易並進行定期報告；
9. 對客戶、分銷商、經紀人和供應商執行盡職調查程式。協助其他部門，為前線提供反洗錢諮詢支援；
10. 與相關方協商主協議條款，負責與外部律師顧問對接。

任職要求：

1. 法學相關專業本科及以上學歷，擁有3-5年相關工作經驗。在持牌金融機構擁有較為豐富法律合規經驗者或將有機會成為高級合規主任/合規經理；
2. 擁有良好的中英文口語和書寫能力（包括粵語及普通話），優先考慮擁有出色中文書寫能力的候選人；
3. 熟練使用計算機技術和MS office辦公軟件，如EXCEL, MS Word。有Bloomberg/Charles River/恒生O32的經驗將是一個優勢，但不是必須；
4. 法律邏輯思維能力強，對合規、風控、監管要求有較強的邏輯思維和認識；
5. 較強的分析和解決問題的能力，注重細節，獨立工作能力強；
6. 能夠與業務中來自合規部門、其他內控部門、前線投資及產品市場等部門的高級管理人員和團隊建立緊密信任關係，發揮良好的團隊精神，有責任感、誠實可靠；
7. 熟悉金融行業監管環境，有資產管理經驗者優先；
8. 必須具備成長型思維及主動學習的態度。

Please send your resume with full details of experience and qualifications, current and expected salary and available day to the Head of Administration & Human Resources, Da Cheng International Asset Management Co. Ltd., Suites 3516-3519, Jardine House 1 Connaught Place, Central, Hong Kong or mail to: recruit@dcfund.com.hk

Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies and for recruitment purposes only.