Job summary
部门
职能
About Our Client
A large Chinese securities firm’s asset management arm.
Job Description
- Monitor day-to-day compliance responsibilities including provide compliance advisory and support to asset management business in Hong Kong;
- Conduct investment compliance using Bloomberg to ensure compliance with regulatory requirements, including Fund Manager Code of Conduct and UT Code;
- Liaise with the business on regulatory changes and update compliance policies and procedures;
- Review all marketing materials for compliance with regulatory requirements;
- Handle regulatory investigations, inspections and enquiries;
- Conduct periodic review and ad hoc compliance projects.
Requirements and Qualifications
- University degree in relevant disciplines (finance, business or accounting);
- At least 6 years’ experience in compliance preferably in RA9 business;
- Excellent command of written English and Chinese;
- Excellent communications skills in Mandarin would be an advantage;
- Solid understanding of SFC Fund Manager Code of Conduct and UT Code;
- Strong analytical and investigation skills and the ability to work independently;
- Knowledge in Bloomberg AIMS would be an advantage.