Compliance Specialist in Asset Management

4 weeks ago

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

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 Role

We 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.
Required Skills and Qualifications
  • 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.
Salary and Benefits

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 Limited

CMB 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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