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Job Details
- Location
- Hong Kong
- Salary
- Competitive Salary
- Job Type
- Permanent
- Ref
- BH-19052-3
- Contact
- Ruth Ma
- Contact email
- Email Ruth
- Posted
- over 1 year ago
- Investment Compliance focus
- Solid experience in Asset Management
- Stable team & business (up to 70K base)
The Company:
With over 15 years of experience, the company provides a wide range of financial services including investment management and wealth management to both individual and institutional clients. This presents a rare opportunity for mid to senior level candidates with solid experience in Asset Management to join a Regional Legal & Compliance team and acquaint themselves with broader Corporate and Investment Compliance exposures.
In your new role, you will
- Lead the investment compliance function in providing accurate and strategic advice to the investment team and other business units on daily compliance queries
- Oversee the implementation of investment restrictions / regulatory requirements to a broad range of fund products (including SFC-authorized funds, MPF funds, UCITS funds) across multiple jurisdictions
- Perform pre- and post-trade monitoring, and rules coding in Bloomberg AIM to enhance and ensure compliance alerts are reviewed and assessed on a timely basis
- Conduct real-time trade surveillance; identify and investigate potential investment breaches and prepare regular reports to relevant stakeholders
- Support the team in other business and regulatory compliance issues
Requirements:
- Bachelor’s degree or above in Business, Finance, Law or related discipline
- Minimum 5-10 years of progressive buy-side compliance experience
- Expert knowledge / prior experience in dealing with investment compliance of SFC-authorised funds
- Self-motivated with exceptional collaboration skills
- Fluency in written and spoken English and Chinese for internal & external communications and engagement
Interested parties please get in touch with Ruth Ma via ruth.ma@ethosbc.com
BeathChapman Pte Ltd
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