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Asset Management Regulatory Lead

1 week ago


Hong Kong Island, Hong Kong SAR China Be Myjob Company Limited Full time

We are seeking an accomplished professional to fill the position of Asset Management Regulatory Lead at Be Myjob Company Limited. In this role, you will be responsible for leading our regulatory efforts and ensuring compliance with relevant regulations and guidelines.

Key Responsibilities:
  • Lead the regulatory function in Hong Kong, ensuring effective compliance with SFC Type 9 regulated activities.
  • Serve 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.
  • Maintain 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.
Requirements:
  • Degree holder in business related discipline.
  • Minimum 8 years of working experience in Asset Management Compliance or regulator.
  • Proficiency in written and spoken Mandarin, English, and Cantonese.
  • Ability to work independently and collectively when needed.
  • Good interpersonal and communication skills, strong analytical skills.