Job Responsibilities

  • Reporting to the Director, Compliance Department
  • Perform pre and post-trade monitoring of investment guidelines
  • Prepare regulatory filings and application including product registration and licence application
  • Assist the Compliance team head to advise management on any potential regulatory or procedural issues
  • Review sales and marketing collaterals
  • Conduct AML / KYC assessment as required and assist in day-to-day AML monitoring
  • Assist in implementing and monitoring the Ethics program
  • Assist in preparing/updating compliance manual and procedures
  • Support Compliance and business initiatives
  • Conduct Compliance trainings

Job Requirements

  • Finance, Accounting or Law Degree graduate
  • Minimum 5 years of compliance experience in asset management firm
  • Familiar with Bloomberg AIM CMGR is an asset
  • Good command of written and spoken English and Chinese (Cantonese/Mandarin)
  • Good communication and interpersonal skills
  • A quick and enthusiastic learner who can work independently
  • A passionate team player who can work under time pressure
  • Excellent MS Office skills (especially Excel, knowledge in VBA is a definite plus)

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