Compliance Officer, asset management
- Employer
- Robert Walters Hong Kong
- Location
- Hong Kong, Hong Kong
- Salary
- Negotiable
- Closing date
- Jun 8, 2023
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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A global asset manager seeking to hire a Compliance Officer to join their compliance team. They have a well-defined structure for investment and business compliance, providing an excellent opportunity for a junior candidate to gain exposure to both sides.
Responsibilities:
Requirements:
Responsibilities:
- Assist the Head of Compliance and rest of the team in a broad area of responsibilities in Compliance for the Firm's products domiciled in HK, Luxembourg, Cayman, USA and Ireland
- Assist in developing and implementing compliance policies / procedures
- Assist in internal, external and regulatory audits and reporting, including the compliance due diligence questionnaire by counter parties
- Handle AML/KYC onboarding and ongoing checks on our counterparties / new investors/ distributors
- Handle enquires from different business and functional units on compliance matters (eg. SFC FATCA/ CRS)
- Conduct general compliance (staff dealing approval, CPT monitoring, licensing application)
- Conduct compliance review and/or testing for compliance monitoring purpose of policies and procedures
- Handling RFP requests from Marketing & product team and sales
- Assist in reviewing product marketing materials
- Back up on the investment compliance, e.g. daily investment guidelines monitoring of portfolio / trading activities, and rules set-up and testing in Bloomberg POMS
Requirements:
- Bachelor's degree holder in business related discipline
- 3 years' in-house compliance experience and experience in asset management will be an advantage
- Open to candidates in consultancy firms
- Attention to details
- Good spoken and written English and Chinese
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