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Compliance Manager/Officer, Top Chinese Fund House

Cornerstone Global Partners Hong Kong
Posted 3 days ago In-Office Permanent HK$30k - HK$50k
Our client, a top-tier PRC Fund House, is currently seeking a Compliance Associate to join their team.

Responsibilities

  • Ensure investment compliance.
  • Handle SFC applications, regulatory and general compliance issues such as employees' personal dealings, as well as other regulatory reporting and filings involving SFC-authorized funds.
  • Review and coordinate the execution of service agreements with respective counterparties for SFC-authorized funds, private funds, and discretionary mandates.
  • Examine and revise compliance policies and processes.
  • Conduct AML/KYC checks and due diligence on clients/service providers/online platforms.
  • Assist with internal/external liaison, as well as HK and other regulators, on various regulatory and general compliance problems.

Requirements

  • University graduate (in finance, accounting, law, or a related field of business)
  • 3 - 5 years of working experience in fund house
  • Understand SFC-authorized funds, collective investment schemes, and financial derivatives with underlying investments in stocks, fixed income, and financial derivatives.
  • Compliance experience with SFC Type 1 4 and 9
  • Strong written and spoken English and Chinese skills
  • Applicants with less experience will be considered as well
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