Responsibilities：
- Ensure investment compliance primarily with the use of the trading system
- Code investment restrictions and guidelines into the trading system for pre-trade and post-trade compliance monitoring.
- Flag, resolve and report both active and passive investment breaches in a timely manner.
- Handle SFC applications, regulatory and general compliance matters for example employees personal dealing and other regulatory reporting and filings with respect to SFC-authorized funds.
- Conduct compliance monitoring programs, report findings and provide recommendations.
- Review marketing materials with regards to investment capabilities and collective investment schemes.
- Review and coordinate the establishment of service agreements with the respective counterparties in relation to SFC-authorized funds, private funds and discretionary mandates.
- Perform AML/KYC review and due diligence checks on clients / service providers / online platforms.
- Assist in revising, updating and implementing compliance policy and procedures in light of regulatory developments and business needs.
- Assist in the liaison with internal/external parties and HK and US regulators on other regulatory and general compliance matters.
Requirements：
- Bachelor Degree with major in Law, Accounting, Finance or related discipline.
- Minimum 3 years of working experiences, with at least 1-3 years of hands-on investment compliance experiences with Bloomberg AIMS.
- Prior compliance experiences in asset management firms (i.e. with SFC Type 1, 4 and 9 RA License) preferred.
- Familiar with SFC authorized funds, collective investment schemes with underlying investments of equities, fixed income, and financial derivatives.
*Personal information collected will be used for recruitment purposes only*