Investment Compliance (Assistant Manager), Award-Wining Fund House

Responsibilities：

• Ensure investment compliance primarily with the use of the trading system- Bloomberg AIMS.
• Code investment restrictions and guidelines into the trading system for pre-trade and post-trade compliance monitoring.
• Flag, resolve, and report both active and passive investment breaches in a timely manner.
• Handle SFC applications, regulatory and general compliance matters for example employees’ personal dealing and other regulatory reporting and filings with respect to SFC-authorized funds.
• Review marketing materials with regards to investment capabilities and collective investment schemes.
• • Review and coordinate the establishment of service agreements with the respective counterparties in relation to SFC-authorized funds, private funds and discretionary mandates.
• Review and update compliance policy and procedures.
• Perform AML/KYC review and due diligence checks on clients / service providers / online platforms.
• Assist in the liaison with internal/external parties and HK and US regulators on other regulatory and general compliance matters.

Requirements：

• With bachelor’s degree or above, and majoring in laws preferred.
• Minimum 3 years of working experiences, with at least 2 years of hands-on investment compliance experiences with Bloomberg AIMS.
• Prior compliance experiences in asset management firms (i.e. with SFC Type 1, 4 and 9 RA License) preferred.
• Familiar with SFC authorized funds, collective investment schemes with underlying investments of equities, fixed income, and financial derivatives

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