Compliance Professional in Asset Management

2 weeks ago


Hong Kong, Central and Western District, Hong Kong SAR China Be Myjob Company Limited Full time

We are looking for a mid-senior level professional to fill the role of Senior Compliance Consultant at Be Myjob Company Limited. The successful candidate will be responsible for providing support to the Deputy Head of Compliance in Hong Kong in managing all general compliance issues concerning SFC Type 9 regulated activities.

The ideal candidate will have a strong background in asset management compliance, with a minimum of 8 years of working experience. They must be proficient in written and spoken Mandarin, English, and Cantonese.

You will be responsible for acting as the primary point of contact for regulatory matters and routine monitoring related to private funds, public funds, SFC authorized funds, and discretionary accounts. Reviewing and approving marketing materials associated with private funds and SFC authorized funds will also be part of your duties.

Aid in creating and implementing compliance-related policies and internal control procedures. Conducting KYC and AML reviews for client onboarding will also be part of your responsibilities.

Manage various SFC regulatory reporting requirements, including Annual Return, BRMQ, surveys, and authorized funds' statistics. Develop compliance training materials and conduct training sessions for functional units.

Responsibilities:
  • Provide support to the Deputy Head of Compliance in Hong Kong in managing all general compliance issues concerning SFC Type 9 regulated activities.
  • Act as the primary point of contact for regulatory matters and routine monitoring related to private funds, public funds, SFC authorized funds, and discretionary accounts.
  • Review and approve marketing materials associated with private funds and SFC authorized funds.
  • Perform daily pre-trade and post-trade monitoring, promptly reporting any investment guideline breaches.
  • Aid in creating and implementing compliance-related policies and internal control procedures.
  • Conduct KYC and AML reviews for client onboarding.
  • Manage various SFC regulatory reporting requirements, including Annual Return, BRMQ, surveys, and authorized funds' statistics.
  • Develop compliance training materials and conduct training sessions for functional units.


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