Job Description
Our client, a famous Japanese Asset Management firm, is inviting applications for the following :
Job Descriptions:
- Perform general compliance function
- Conduct regular compliance monitoring procedures and checking
- Handle compliance restriction monitoring and checking
- Perform trade surveillance
- Assist in investment restrictions coding in system
- Review and revise compliance manual and internal code, policies and procedures
- Handle licensing related matters and other regulatory filing for the group and liaise with SFC and other regulatory authorities on their enquiries
- Handle trade and staff dealing approval and monitoring and review trade-related and staff dealing-related reports
- Provide advice and guidelines, including briefing sessions, to staff on compliance issues relating to the regulated activities and new business initiatives
- Coordinate with IT on system enhancement and user-acceptance testing for features related to compliance
- Review marketing materials/client reporting
- Assist in other tasks and ad-hoc projects
Requirements:
- Bachelor Degree with major in Accounting, Finance or related discipline
- 5-6 years of experience in handling compliance matters, experience with fund house is preferred
- Strong relationship with regulators
- Knowledge in Charles River Investment Management System
- Familiar with Securities and Futures Ordinance, code, guidelines and other relevant regulatory requirements (including HK MPFA, US SEC, UK FCA, UCITS, etc)
- Good analytical and communications skills and able to work independently
- A strong team member, details oriented and able to multi-tasking
- Proficiency in Cantonese, English and Putonghua, Microsoft offices
- Knowledge in risk management a plus
Package:
- 55K-65K
- Central
- 5 days
interest parties please visit http://www.rgf-hragent.asia/en/hongkong/
All information received will be kept in strict confidential and only for recruitment purpose.