Responsibilities:
General Compliance:
- Assist in handling product compliance matters, including preparing relevant filings to regulatory authorities such as the SFC for UT Code changes, reviewing marketing materials for HK SFC authorized funds, SICAV, and PE funds.
- Conduct gap analysis on regulatory updates assigned by the Head of Compliance.
AML/KYC Onboarding and Ongoing Checks:
- Handle AML/KYC onboarding and ongoing checks for counterparties, new investors, and distributors.
- Ensure compliance with relevant AML/KYC regulations and internal policies.
Compliance Policies and Procedures:
- Assist in the development and implementation of compliance policies and procedures.
- Collaborate with the team to ensure adherence to regulatory requirements.
Audits and Reporting:
- Support internal, external, and regulatory audits and reporting.
- Assist in completing compliance due diligence questionnaires by counterparties.
Licensing Matters:
- Provide support in licensing matters for the firm and license representatives.
Compliance Review and Testing:
- Conduct compliance reviews and testing to monitor the effectiveness of policies and procedures.
- RFP Requests:
- Handle requests for proposals (RFPs) from the Marketing, Product, and Sales teams.
Requirements:
- Bachelor's degree in a business-related discipline.
- 3-5 years of external/ in-house compliance experience, with asset management experience being advantageous.
- Strong attention to detail and ability to work effectively as part of a team.
- Excellent written and verbal communication skills in English and Chinese.