Our client is a fast growing Fund House, which has earned its reputation in the past few years. They are now looking a compliance candidate to join the team
- 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.
- 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
***All personal data will only be collected for recruitment purpose only