Investment Compliance (Asset Management) Investment Compliance (Asset Management) …

Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 14 Oct 21
Negotiable
Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 14 Oct 21
Negotiable
Our Client, a Top-Tier PRC firm with SFC type 4,9 is looking for Investment Compliance Specialist who has extensive experience in Bloomberg AIM to join their compliance team.;

Job Description

  • Managing Compliance mandates with the regulators
  • Manage Investment Compliance for the firm using Bloomberg AIM
  • Perform compliance review and risk assessment to identify gaps
  • Provide regulatory updates and compliance advice on business initiatives
  • Liaise with regulators on handling SFC Type 1 licensing, inquiries, and ongoing reporting requirements

Job Requirement

  • A relative degree in law/accounting/finance
  • Minimum 3 years of compliance experience in Financial Institutions (Ideally Asset Management)
  • Strong understanding of the buy-side market, with strong regulatory knowledge (SFC)
  • Extensive experience in Bloomberg AIM
  • Good spoken and written ability in English and Mandarin
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