AD, Investment Compliance Advisory, Asset Manager
One of the strong compliance teams across all asset managers in HK
Friendly working environment with huge potential
About Our Client
Our client is proud to be an Equal Opportunity Employer committed to diversifying its workplace, providing equal employment opportunity for all qualified persons regardless of genders, nationalities, backgrounds and etc.
As the Associate Director/ Vice President of Investment Compliance, you are mainly responsible for handling all the investment and trade compliance for the regional trade desk. This includes pre-trade, post-trade monitoring to ensure compliance with regulations and guidelines. You will also ensure investment restrictions, trade desk matters for local and regional funds and etc.
In addition, you are responsible for:
- Take lead to provide investment and regulatory advice to trading professionals and to make sure they comply with regulatory requirements and firm-wide policies
- Conduct investment compliance training to team including local and overseas staff
- Perform routine compliance monitoring program and general regular compliance reports
- Providing insights, responses, advice on products such as fixed income, equity, private credit, China Stock Connect, China onshore fixed income, RQFII and etc.
The Successful Applicant
The ideal candidate should be a degree holder with over 8 years of experience in General Compliance, preferably at least 4 in Investment Compliance with asset & investment managers. The candidate should equipped with regional exposure and have worked with systems such as Bloomberg, Charles River and etc. It will be great if the candidate is a certified accountant and aiming for CFA as well. The candidate must be able to read, write and speak Chinese due to the nature of the job.
What's on Offer
Great compensation, fast paced environment and good colleagues.