Asset Management Compliance Specialist
1 week ago
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.
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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