Asset Management (Compliance focus) - Associate

Responsibilities:

• Perform investment guideline management that includes interpretation of investment guidelines and rules, implementation of investment restrictions and monitoring of daily trading activities to ensure investment decision complies with investment policies and restrictions;
• Define compliance rules in Bloomberg AIM to align with investment guideline restrictions and establish alternative monitoring processes for non-system-codable restrictions;
• Monitoring pre- and post-trade compliance controls and managing alerts;
• Support new client onboarding and periodic compliance reviews for existing clients to ensure all information remains accurate and compliance with all applicable regulations and AML/CFT requirements across relevant jurisdictions;
• Maintain familiarity with SFC regulations and requirements to ensure compliance in both primary and secondary market activities;
• Prepare regulatory reports for submission to relevant parties, including Group Compliance and Risk Management and regulatory authorities, ensuring accuracy and full compliance with all applicable requirements;
• Perform other compliance and risk-related ad-hoc tasks as required.

​Requirements:

• Bachelor Degree or above in Business, Law, Finance, Risk Management and other relevant qualifications.
• Minimum 3 years of relevant experience with a regulatory authority, financial institution or professional firm.
• Good understanding of SFC and CIMA regulations, and anti-money laundering (AML) requirements.
• Good communication and effective collaboration with internal departments.
• Knowledge or experience on PE fund regulations of mainland China is preferred.

(Candidate with more experienced will be considered as Assistant Vice President.)

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