Asset Management Compliance Specialist

1 week ago


Hong Kong, Central and Western District, Hong Kong SAR China CMB International Capital Corporation Limited Full time
Main Responsibilities:

We are seeking a highly skilled Compliance Officer to join our Asset Management team in Hong Kong. The successful candidate will be responsible for monitoring day-to-day compliance responsibilities, providing compliance advisory and support to the asset management business, and ensuring compliance with regulatory requirements.

Key Responsibilities:

  • Conduct investment compliance using Bloomberg to ensure adherence to regulatory requirements, including the Fund Manager Code of Conduct and UT Code.
  • Liaise with the business on regulatory changes and update compliance policies and procedures.
  • Review all marketing materials for compliance with regulatory requirements.
  • Handle regulatory investigations, inspections, and enquiries.
  • Conduct periodic review and ad hoc compliance projects.
Qualifications & Requirements:

To be successful in this role, you will need:

  • A university degree in a relevant discipline (finance, business, or accounting).
  • At least 6 years' experience in compliance, preferably in RA9 business.
  • Excellent command of written English and Chinese.
  • Excellent communication skills in Mandarin would be an advantage.
  • Solid understanding of the SFC Fund Manager Code of Conduct and UT Code.
  • Strong analytical and investigation skills, with the ability to work independently.
  • Knowledge in Bloomberg AIMS would be an advantage.


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