Senior Compliance Manager

About E Fund Management (Hong Kong) Co., Limited

E Fund Management (HK) Co., Ltd (“E Fund HK”) was officially established in 2008 and is licensed by the Securities and Futures Commission of Hong Kong to conduct Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities*. As the international business platform of E Fund, E Fund HK provides asset management services in fixed income, equity, index and alternative investment for investors all over the world. Its award-winning products have been recognized by leading institutions such as Morningstar, Lipper, Asian Investor and Benchmark.

E Fund, the parent company of E Fund HK, was founded in 2001 and headquartered in Guangzhou. It has branch offices in Beijing, Guangzhou, Shanghai, and subsidiaries including E Fund International Holdings Limited (with E Fund Management (HK) Co., Limited under it), and E Fund Asset Management Co., Ltd. E Fund has grown tremendously to become the largest integrated management corporations in China with total assets under management over RMB 2.7 trillion as of Dec 31, 2022. (including E Fund HK and China subsidiaries)**. E Fund possesses provision of asset management services including China mutual funds, social security funds, pension insurance funds, corporate pension funds, segregated accounts, QDII, and for global investors: QFII, RQFII.

* For Type 1 regulated activity, the licensee shall only carry on the business of dealing in collective investment schemes. The terms "collective investment scheme" and "dealing" are as defined under the Securities and Futures Ordinance.

**Date from E Fund and China Galaxy Securities Fund Research Center as of Dec 31, 2022.

 
Responsibilities

• Perform compliance checking and review on investment products;
• Draft, review, and negotiate various legal and contractual documents; including legal, advisory, underwriting, employment, lending, leases, placement agreements and ensure all comply to legal and compliance issues;
• Assist to update procedure manuals and ensure the processes are in compliance with regulatory guidelines and internal policies;
• Draft and manage the roll out of Compliance policies, procedures and guidelines and any associated training requirements;

 
Requirements

• Hold Bachelor or above degree in Law, Finance, Economics or related discipline from leading universities;
• Above 5 years of relevant experience in an established Investment / Corporate Bank or Asset Management Firm;
• Relevant experience in Mainland China is preferred;
• Familiarized with investment products and SFO;
• Strong knowledge in Bloomberg is preferred;
• Sensitive to changing regulatory requirement.
• Languages Skills: Good Command of English and Chinese, both spoken and written.
• Putonghua speaking is preferred
• A strong team player with excellent inter-personal and communication skills
• Prioritization and multi-tasking skills
• Prompt and systematic decision-making skills with good analytical skills
• Handle ad-hoc project when required
• Senior candidate will be considered as a senior role

Compensation and Benefits

E Fund HK is a fast growing company with strong financial resources and parent company support. We offer competitive compensations and career growth opportunities. We also offer attractive benefit programs and continued education support.