Compliance Officer/Compliance Manager

To support the expansion of our mutual fund business, Da Cheng International Asset Management Co. Ltd. is currently seeking qualified candidates for the position of Compliance Officer or Compliance Manager to address our growing investment demands. Successful candidates will be offered a collaborative work environment, accelerated career development opportunities, and a competitive compensation package.

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$200 million, is a wholly-owned subsidiary of Dacheng Fund Management Co., Ltd. located in the Hong Kong Special Administrative Region of the Peoples Republic of China. As one of the pioneering Chinese fund companies to establish subsidiaries in Hong Kong, the Company is dedicated to expanding cross-border and global investment opportunities while focusing on building a comprehensive global investment platform. It positions itself as both an “overseas investment pioneer” and a leading expert in “global Chinese concept investments.”

DC International holds a full suite of licenses for cross-border and overseas operations, including authorization from the Hong Kong Securities and Futures Commission to conduct Type 1 regulated activities (dealing in securities), Type 4 regulated activities (advising on securities), and Type 9 regulated activities (asset management). Additionally, the Company has obtained RQFII/QFII qualifications. Notably, it was among the first firms to secure the qualification of overseas investment advisors for Hong Kong Stock Connect granted by the China Securities Regulatory Commission in October 2018.

Compliance Officer/Compliance Manager

Responsibilities:

1. Conduct day-to-day investment guideline management activities within the compliance module of Bloomberg AIM, including independently coding rules and configuring all investment restrictions in the system. Perform daily pre- and post-trade monitoring, address intraday transaction alerts, and ensure timely resolution of any compliance-related issues.

2. Collaborate closely with the Investment Team and Trading Desk to provide robust support for their business requirements and daily transactions concerning investment guideline management controls. Ensure full adherence to compliance standards across all investment management functions and promptly escalate any detected compliance risks in accordance with internal policies and procedures.

3. Assist in reviewing and monitoring the Companys existing and new businesses to ensure alignment with regulatory requirements set by relevant authorities. Work alongside the product team to facilitate the launch of new products, maintain up-to-date fund documentation, and coordinate with both internal and external counterparties on various projects.

4. Support the development and implementation of compliance manuals, procedures, and monitoring programs to reflect current regulations, industry best practices, and changes in business structure and activities.

5. Serve as the primary liaison between the Company and its parent company based in Shenzhen. Address inquiries from the Compliance Department of the parent company, prepare and submit regulatory reports as required by the parent company, AMAC, CSRC, and other PRC regulators in a timely manner.

6. Review marketing materials, communication documents, and presentations to ensure compliance with regulatory requirements and efficiently handle regulatory approvals.

7. Assist with corporate licensing matters and maintain effective communication with the SFC.

8. Manage staff personal account dealings and conduct periodic reporting as mandated.

9. Execute due diligence processes for clients, distributors, brokers, and vendors. Provide anti-money laundering (AML) advisory support to front-line teams.

10. Negotiate master agreement terms with various counterparts while acting as the company's central point of contact to liaise with external legal advisors.

Requirements:

1. A university graduate in Risk Management, Accountancy, Law or related disciplines with 4-5 years of relevant working experience. Candidates with extensive legal and compliance experience in licensed financial institutions will be considered for the positions of Senior Compliance Officer or Compliance Manager.

2. Excellent command of written and spoken English and Chinese (both Cantonese and Mandarin). Superior Chinese writing skills are highly preferred.

3. Proficiency in PC skills and MS Office applications, including Excel and MS Word. Experience with Bloomberg/Charles River/O32 systems would be advantageous but is not mandatory.

4. Strong logical thinking abilities with comprehensive knowledge of compliance, risk control, and regulatory requirements.

5. Exceptional analytical and problem-solving skills, coupled with a high level of attention to detail and the ability to work independently.

6. The ability to establish trusted relationships with senior management within the business and across Compliance and other oversight and control teams, while demonstrating strong teamwork capabilities.

7. Familiarity with the regulatory environment in the financial industry, preferably in asset management.

8. A growth-oriented mindset with a demonstrated willingness to learn is essential.

Employee Benefits:

As a compassionate and employee-focused organization, we provide our staff with an array of comprehensive wellness initiatives, a flexible work environment, and meaningful career development opportunities. Our employee benefits package includes the following:

• A 5-day work week

• Performance-based bonuses

• Annual leave and company-designated holidays

• Group medical insurance coverage

• Mandatory Provident Fund (MPF) contributions

• Transportation and telephone allowances

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. 風險管理、會計、法學相關專業本科及以上學歷，擁有4-5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 submit your resume, including comprehensive details of your experience and qualifications, current and expected salary, and availability date, to the Head of Administration & Human Resources at Da Cheng International Asset Management Co. Ltd., Suites 3516-3519, Jardine House, 1 Connaught Place, Central, Hong Kong, or email it to recruit@dcfund.com.hk

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