Compliance Specialist in Asset Management
7 hours ago
Are you an experienced compliance professional looking to take your career to the next level? We are seeking a highly skilled Compliance Specialist to join our team at CMB International Capital Corporation Limited. This is a fantastic opportunity to work with a dynamic company and contribute to our success.
About the RoleWe are looking for a seasoned compliance expert with at least 6 years of experience in compliance, preferably in asset management or a related field. As a Compliance Specialist, you will be responsible for ensuring that our business operations comply with regulatory requirements and internal policies.
Main Responsibilities- Regulatory Compliance Monitoring: Monitor day-to-day compliance responsibilities, providing compliance advisory and support to our asset management business in Hong Kong.
- Investment Compliance: Conduct investment compliance using Bloomberg to ensure compliance with regulatory requirements, including the Fund Manager Code of Conduct and UT Code.
- Policy Updates: Liaise with the business on regulatory changes and update compliance policies and procedures accordingly.
- Marketing Materials Review: Review all marketing materials for compliance with regulatory requirements.
- Regulatory Investigations: Handle regulatory investigations, inspections, and enquiries.
- Compliance Projects: Conduct periodic review and ad hoc compliance projects as required.
- University degree in a relevant discipline (finance, business, or accounting).
- At least 6 years' experience in compliance, preferably in asset management or a related field.
- 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 of Bloomberg AIMS would be an advantage.
The estimated salary for this role is around HKD $720,000 - $1,080,000 per annum, depending on experience. In addition to a competitive salary, we offer a range of benefits, including medical insurance, annual leave, and training opportunities.
Working at CMB International Capital Corporation LimitedCMB International Capital Corporation Limited is a leading asset management company in Hong Kong. We are committed to delivering high-quality services to our clients and providing a positive work environment for our employees. If you are a motivated and experienced compliance professional looking for a new challenge, please submit your application today.
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