Compliance Officer

King Deux Search & Consulting is a specialised executive search firm which offers bespoke talent solutions across financial services and commerce. We are committed to not only finding the right opportunity for our candidates but also leaving a legacy that lives on beyond the hiring process.

Follow us at https://www.careers-page.com/kingdeux for updates on the exceptional clients we represent. Stay up-to-date on industry news and get your career consultation scheduled at kingdeux.com

About Your Company

Our client is a leading asset management firm offering a variety of investment solutions. Specializing in mutual funds, private equity, and diverse asset classes, they focus on innovation and client-centric strategies

Job Responsibilities:

• Assist in monitoring compliance with local Hong Kong regulations, such as the Securities and Futures Ordinance (SFO) and SFC guidelines, ensuring that investment products like ETFs and mutual funds comply with legal standards.
  
• Support the identification and assessment of compliance risks within the organization. Help implement compliance frameworks and controls to mitigate these risks.
  
• Conduct pre- and post-trade surveillance for ETF and mutual fund portfolios to ensure compliance with diversification and derivative limits. Assist in reviewing trading activities.
  
• Help prepare compliance reports for internal and external stakeholders, including regulatory filings. Maintain accurate records of compliance activities and findings.
  
• Assist in developing and updating compliance policies related to ETF agreements, share class rules, and marketing materials. Support training initiatives to promote a culture of compliance within the organization.
  
• Assist in handling interactions with regulators, including notifications and examinations, to ensure compliance with statutory requirements. Address inquiries from regulatory bodies as needed.
  
• Work closely with the Chief Compliance Officer (CCO) to support all aspects of general compliance, ensuring adherence to HKSFC and relevant regulatory frameworks.
  

Job Requirements:

• Bachelor's degree in Law, Risk Management, Banking and Finance, Accounting, or a related discipline.
• 2-5 years of experience in asset management compliance.
• Basic knowledge of SEC rules, UCITS, and local Hong Kong regulations.
• Familiarity with compliance tools and trade surveillance processes is a plus.
• Strong analytical skills with attention to detail and a commitment to ethical standards.
• Ability to communicate regulatory concepts clearly to various stakeholders.
• Strong organizational skills with the ability to manage multiple tasks and deadlines.
• Proactive in identifying compliance risks and developing solutions.
• Team-oriented mindset with the ability to collaborate across departments.

How To Apply

Interested parties, please send your CV directly to [email protected] or apply directly.

Please note that only shortlisted applicants will be contacted.