Asset Management Compliance Officer - Regional Investment Bank

Key Responsibilities Handle SFC applications, regulatory reports/ filings and other licensing matters Conduct reviews on SFC-authorised funds sales and marketing materials Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates Perform coordination of service agreements with relevant stakeholders Conduct compliance review and checks on relevant partners Maintenance of compliance policy and procedures Conduct regular compliance training for

Larson Maddox - Hong Kong - Full time

Salary: HKD420000 - HKD780000 per annum

Key Responsibilities

  • Handle SFC applications, regulatory reports/ filings and other licensing matters
  • Conduct reviews on SFC-authorised funds sales and marketing materials
  • Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates
  • Perform coordination of service agreements with relevant stakeholders
  • Conduct compliance review and checks on relevant partners
  • Maintenance of compliance policy and procedures
  • Conduct regular compliance training for the business

Requirements

  • Degree holder in Business, Law, Risk Management or other related discipline(s)
  • 2+ years of Compliance experience in asset management
  • Familiarity in Bloomberg AIMS is highly preferred
  • Proactive team player, self-motivated and well spoken
  • Good command of written and spoken English and Mandarin
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