Compliance Officer

5 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Da Cheng International Asset Management Company Limited Full time

Da Cheng International Asset Management Co., Ltd. (hereinafter referred to as "DC International" or the "Company"), established on March 19, 2009 with a registered capital of HK$130 million, is a wholly-owned subsidiary of Dacheng Fund Management Co., Ltd. located in the Hong Kong Special Administrative Region of the People's Republic of China. As one of the pioneering Chinese fund companies to establish subsidiaries in Hong Kong, the Company is dedicated to expanding cross-border and global investment opportunities while focusing on building a comprehensive global investment platform. It positions itself as both an "overseas investment pioneer" and a leading expert in "global Chinese concept investments." 

DC International holds a full suite of licenses for cross-border and overseas operations, including authorization from the Hong Kong Securities and Futures Commission to conduct Type 1 regulated activities (dealing in securities), Type 4 regulated activities (advising on securities), and Type 9 regulated activities (asset management). Additionally, the Company has obtained RQFII/QFII qualifications. Notably, it was among the first firms to secure the qualification of overseas investment advisors for Hong Kong Stock Connect granted by the China Securities Regulatory Commission in October 2018.

Compliance Officer/Compliance Manager

Responsibilities:

1. Conduct day-to-day investment guideline management activities within the compliance module of Bloomberg AIM, including independently coding rules and configuring all investment restrictions in the system. Perform daily pre- and post-trade monitoring, address intraday transaction alerts, and ensure timely resolution of any compliance-related issues. 

2. Collaborate closely with the Investment Team and Trading Desk to provide robust support for their business requirements and daily transactions concerning investment guideline management controls. Ensure full adherence to compliance standards across all investment management functions and promptly escalate any detected compliance risks in accordance with internal policies and procedures. 

3. Assist in reviewing and monitoring the Company's existing and new businesses to ensure alignment with regulatory requirements set by relevant authorities. Work alongside the product team to facilitate the launch of new products, maintain up-to-date fund documentation, and coordinate with both internal and external counterparties on various projects. 

4. Support the development and implementation of compliance manuals, procedures, and monitoring programs to reflect current regulations, industry best practices, and changes in business structure and activities. 

5. Serve as the primary liaison between the Company and its parent company based in Shenzhen. Address inquiries from the Compliance Department of the parent company, prepare and submit regulatory reports as required by the parent company, AMAC, CSRC, and other PRC regulators in a timely manner. 

6. Review marketing materials, communication documents, and presentations to ensure compliance with regulatory requirements and efficiently handle regulatory approvals. 

7. Assist with corporate licensing matters and maintain effective communication with the SFC. 

8. Manage staff personal account dealings and conduct periodic reporting as mandated. 

9. Execute due diligence processes for clients, distributors, brokers, and vendors. Provide anti-money laundering (AML) advisory support to front-line teams. 

10. Negotiate master agreement terms with various counterparts while acting as the company's central point of contact to liaise with external legal advisors. 

Requirements:

1. A university graduate in Law with 4-5 years of relevant working experience. Candidates with extensive legal and compliance experience in licensed financial institutions will be considered for the positions of Senior Compliance Officer or Compliance Manager.
2. Excellent command of written and spoken English and Chinese (both Cantonese and Mandarin). Superior Chinese writing skills are highly preferred.
3. Proficiency in PC skills and MS Office applications, including Excel and MS Word. Experience with Bloomberg/Charles River/O32 systems would be advantageous but is not mandatory.
4. Strong logical thinking abilities with comprehensive knowledge of compliance, risk control, and regulatory requirements.
5. Exceptional analytical and problem-solving skills, coupled with a high level of attention to detail and the ability to work independently.
6. The ability to establish trusted relationships with senior management within the business and across Compliance and other oversight and control teams, while demonstrating strong teamwork capabilities.
7. Familiarity with the regulatory environment in the financial industry, preferably in asset management.
8. A growth-oriented mindset with a demonstrated willingness to learn is essential.

Employee Benefits:

As a compassionate and employee-focused organization, we provide our staff with an array of comprehensive wellness initiatives, a flexible work environment, and meaningful career development opportunities. Our employee benefits package includes the following:

• A 5-day work week

• Performance-based bonuses

• Annual leave and company-designated holidays

• Group medical insurance coverage

• Mandatory Provident Fund (MPF) contributions

• Transportation and telephone allowances 

Please submit your resume, including comprehensive details of your experience and qualifications, current and expected salary, and availability date, to the Head of Administration & Human Resources at Da Cheng International Asset Management Co. Ltd., Suites 3516-3519, Jardine House, 1 Connaught Place, Central, Hong Kong, or email it to recruit@dcfund.com.hk

Personal data provided by job applicants will be utilized strictly in accordance with the employer's personal data policies and will only be used for recruitment purposes.

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