Compliance Manager, Asset Management

Responsibilities ：

1. Ensure investment compliance primarily with the use of the trading system
2. Code investment restrictions and guidelines into the trading system for pre-trade and post-trade compliance monitoring.
3. Flag, resolve and report both active and passive investment breaches in a timely manner.
4. Handle SFC applications, regulatory and general compliance matters for example employees’ personal dealing and other regulatory reporting and filings with respect to SFC-authorized funds.
5. Conduct compliance monitoring programs, report findings and provide recommendations.
6. Review marketing materials with regards to investment capabilities and collective investment schemes.
7. Review and coordinate the establishment of service agreements with the respective counterparties in relation to SFC-authorized funds, private funds and discretionary mandates.
8. Perform AML/KYC review and due diligence checks on clients / service providers / online platforms.
9. Assist in revising, updating and implementing compliance policy and procedures in light of regulatory developments and business needs.
10. Assist in the liaison with internal/external parties and HK and US regulators on other regulatory and general compliance matters.

Requirements ：

1. Bachelor Degree with major in Law, Accounting, Finance or related discipline.
2. Minimum 5 years of working experiences, with hands-on investment compliance experiences with Bloomberg AIMS.
3. Prior compliance experiences in asset management firms preferred.
4. Familiar with SFC authorized funds, collective investment schemes with underlying investments of equities, fixed income, and financial derivatives.

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