AVP, APAC Investment Compliance - International Asset Manager based in Hong Kong

LMA Recruitment, EA Licence No: 11C4684
Hong Kong, Hong Kong
Apr 24, 2021
May 24, 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
A global asset management firm in Hong Kong is looking for a seasoned compliance candidate with strong regional investment compliance background to be part of their well-established compliance team.

Responsibilities of the role:

1. Responsible for handling the investment and trade compliance for the APAC trade desk which includes pre-trade real time and post trade compliance monitoring

2. Good knowledge with various asset classes, including equity, fixed income, asset allocation and etc. Previous hands-on experience and familiarity in regional cross-border insurance related investment guidelines will be highly regarded.

3. To conduct investment compliance trainings to investment team from time to time

5. To perform compliance monitoring program to ensure comply with SFC FMCC and other similar requirements

6. To prepare regular compliance reports both regional and global

7. Candidates with business compliance background may extend to business regulatory compliance from time to time

Requirements of the role:
  • 5 years compliance and with at least five years of relevant investment compliance experience with an asset management company. APAC investment compliance experience is highly regarded.
  • Experience with Bloomberg AIM will be an advantage
  • Qualified CPA or CFA will be an advantage.
  • Good command of written and spoken English and Chinese/Mandarin as you will be required to read Chinese policy and procedures
  • Ability to multi-task and meet tight deadline or market conditions.

Company Reg. No.: 201131609D: Licence No.: 11C4684 : EA Reg No: R2196467

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