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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
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:

  • 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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