Asset Management Compliance

Responsibilities： Ensure investment compliance primarily with the use of the trading system Code investment restrictions and guidelines into the trading system for pre-trade and post-trade compliance monitoring. Flag, resolve and report both active and passive investment breaches in a timely manner. Handle SFC applications, regulatory and general...

Responsibilities: General Compliance: Assist in handling product compliance matters, including preparing relevant filings to regulatory authorities such as the SFC for UT Code changes, reviewing marketing materials for HK SFC authorized funds, SICAV, and PE funds. Conduct gap analysis on regulatory updates assigned by the Head of Compliance. AML/KYC...

Responsibilities:  - General compliance responsibilities i.e. investment compliance, regulatory reporting & control, marketing materials review, provide compliance advisory to business, licensing etc - Conduct KYC/ AML reivew on clients/ vendors - Liasie with regulatory bodies i.e. SFC, SEC etc - Conduct compliance training with internal staffs  ...

OVERVIEW Balyasny Asset Management is seeking an Associate, Middle Office – Asia Listed & Quant team members to join the Operations team in our Hong Kong / Singapore office.The employee will assist traders and portfolio managers with a wide variety of trade related and portfolio PnL questions. In addition to working closely with various departments...

Compliance Manager/Senior Manager   Responsibilities: Compliance Policy and Procedures: Develop and update the company's compliance policies and procedures to ensure business activities comply with national and regional financial regulatory laws. Regulatory Agency Communication: Maintain close contact with regulatory agencies to stay informed about and...

Our client is domiciled in Hong Kong and holds an Asset Management license (SFC 9) regulated by the Securities and Futures Commission of Hong Kong. They are currently seeking an experienced compliance manager who are directly involved with a Type 9 manager preferably with SFC audit experience.   Role & Responsibilities Assist in all general compliance...

JobMission: The IT Asset Manager, Asia Pacific, is responsible for the daily and long-term strategic management of software and technology-related hardware within the organization. This includes planning, monitoring, and recording software license and/or hardware assets to ensure an up-to-date Asset Inventory and compliance with vendor contracts. The...

Key responsibilities Take responsibility for the organization’s Compliance framework and function. Lead a team to develop policies procedures, solutions and lead any remediation of compliance gaps to completion, including but not limited to AML, market surveillance, regulatory compliance, etc. Take ownership of regulatory matters for the business,...

Duties & Responsibilities Reviews and provides oversight on daily operational process including fund accounting, trade processing, cash transfers and fee payments. Ensure that service delivery level is met across operational processes and operational issues are escalated and resolved timely. Liaises with internal departments and external parties such as...

Responsibilities: Provide comprehensive legal support across various product lines. Advise management on legal matters related to the launch of new products and business initiatives. Structure legal frameworks for different products, including PE funds, SICAV, hedge funds, ETFs and HK Unit Trusts. Draft and review agreements, contracts, and legal...

Job Description The Senior Vice President, Investments will be a senior member of the investment team, and will play a key role in the identification, evaluation, recommendation, execution and management of investment opportunities in the renewable power and transition space that span across a range of decarbonization technologies including, but not...

Responsibilities Support daily operations functions including subscription, redemption, dividend distribution, trade settlement, fees payment, reconciliation and NAV calculation Work closely with service providers including fund administrator, custodian, vendors etc. to ensure smooth operations Providing direction and solution for operation issues, ensuring...

Supervise a team to control and manage non-performing assets and impairment loss Oversee the team’s compliance and adherence to the legal and regulatory requirements, the Bank’s corporate values and culture, internal policies and guidelines Formulate debt recovery strategies and direct the team to execute Recommend asset classification based on HKMA...

Job description KPMG China provides multidisciplinary services from audit and tax to advisory, with a strong focus on serving our clients' needs and their industries. Not only do we have an overriding commitment to provide the highest quality services for our clients, but we also strive to become a responsible corporate citizen that has a positive impact on...

Job descriptionKPMG China provides multidisciplinary services from audit and tax to advisory, with a strong focus on serving our clients' needs and their industries. Not only do we have an overriding commitment to provide the highest quality services for our clients, but we also strive to become a responsible corporate citizen that has a positive impact on...

They are specifically looking for candidates with experience in alternative investments. What you'll do: Contribute to a compliance team to embed a customer-focused culture; supporting the asset management business to manage regulatory compliance risks, specifically in relation to alternative investments Implement the regulatory compliance standards and...

Whether you’re at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you’ll have the opportunity to expand your skills and make a difference at one of the world’s most global banks. We’re fully committed to supporting your growth and development from the start with extensive on-the-job training...

Responsibilities Ensure adherence to SFC licenses for financial advisory and fund management, specifically types 1, 4, and 9. Assist in the management of compliance matters, including engaging with regulators and external auditors for compliance audits. Prepare compliance control reports, identifying risks and making recommendations for necessary changes....

This is an exciting opportunity to be a part of the Asia Pacific Operational Risk team Job Summary: As a Vice President you will be responsible to support the operational risk function for the Asset Management business across Asia Pacific while includes offices in Hong Kong, Singapore, China, Taiwan, Australia, Japan and Korea. Operational Risk...

Responsibilities: Responsible for the sales of the company's asset disposal business, including but not limited to the disposal and sales of distressed inventory and other assets. Develop new customers, maintain existing ones, and drive the expansion and development of the asset disposal business. Responsible for setting sales plans and targets, and...