Leading institutional asset management is seeking an experienced compliance professional to join their growing team.
The responsibilities for the above position -
- Perform monitoring tasks to ensure regulatory, client specified and internally established investment restrictions for global, regional and local mandates are complied with. Investigate and follow up on potential breaches of such investment restrictions;
- Review and perform disclosure of interest filing;
- Perform Asia Pacific ex Japan central trading desk monitoring tasks to ensure regulatory and internal requirements are complied with. Investigate and follow up on potential violations;
- Review global, regional and local sales and marketing materials on a variety of products and services according to global and local standards;
- Ensure compliance with registration, licensing and other regulatory requirements for the conduct of business;
- Prepare, review and submit certain regulatory filings to Hong Kong SFC;
- Ensure compliance with anti-money laundering and combating terrorist financing policies;
- Perform monitoring tasks to ensure employee compliance of the Code of Ethics;
- Conduct compliance training;
- Perform compliance risk assessment for the region;
- Conduct business reviews;
- Assist the head of compliance in updating the compliance manual and other compliance policies
- Perform Ad-hoc tasks and participate in various regional or global projects.
Key requirement and qualifications
- Degree holder with at least 5 years experience in compliance / legal / audit function, gained from other sizable financial institutions, with at least 3 years of relevant compliance experience with an investment / asset management company. Regional experience is highly regarded;
- Experience with Bloomberg or Charles River system an advantage;
- Certified accountant in US, UK, Canada or Australia an advantage;
- Good command of written and spoken English and Chinese;
- Good communication and interpersonal skills;
- Capable to establish trust and respect of peers and user departments;
- Autonomous but team player.