Compliance Officer (Asset Management)

Key Responsibilities

• Handle SFC applications, regulatory reports/ filings and other licensing matters
• Conduct reviews on SFC-authorised funds sales and marketing materials
• Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates
• Perform coordination of service agreements with relevant stakeholders
• Conduct AML/ KYC review and due diligence checks on clients, service providers and relevant partners
• Maintenance of compliance policy and procedures
• Conduct regular compliance training for the business

Requirements

• Degree holder in Business, Law, Risk Management or other related discipline(s)
• Around 3-6 years of Compliance experience in asset management
• Familiarity in Bloomberg AIMS is highly preferred
• ETF compliance is highly preferred
• Proactive team player, self-motivated and well spoken
• Good command of written and spoken English