Asset Management Regulatory Specialist
4 days ago
We are seeking a talented Asset Management Regulatory Specialist to join our team at Be Myjob Company Limited. As a Principal Consultant, you will play a critical role in ensuring compliance with relevant regulations and laws.
About the Role:This is an exciting opportunity for an experienced professional to take on a challenging role in Asset Management Compliance. You will be responsible for providing support to the Deputy Head of Compliance in Hong Kong, 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.
The ideal candidate will have a strong background in Asset Management Compliance and excellent analytical skills. They will be able to work effectively in a fast-paced environment and have good communication skills.
- 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.
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