Senior Compliance Officer Senior Compliance Officer …

Taikang Asset Management (Hong Kong) Co. Ltd.
in Hong Kong
Permanent, Full time
Last application, 16 Nov 21
Commensurate with experience
Taikang Asset Management (Hong Kong) Co. Ltd.
in Hong Kong
Permanent, Full time
Last application, 16 Nov 21
Commensurate with experience
Posted by:
Taikang Asset (HK) • Recruiter
Posted by:
Taikang Asset (HK)
Taikang Asset Management (Hong Kong) Company Limited “referred as Taikang Asset (HK)”

Taikang Asset (HK) is a wholly-owned subsidiary of Taikang Asset Management Company, Limited (Taikang AMC), was established in Hong Kong in 2007, as its overseas investment center. Taikang AMC is 100% owned by the Taikang Insurance Group.

Being the bridgehead for Taikang Insurance Group’s global strategic implementation platform, Taikang Asset (HK) inherits its parent company’s investment philosophy “Research Drives Forward Investment, Professionalism Creates Values”.  Sharing investment research resources with its parent company, Taikang Asset (HK) is responsible for Taikang AMC’s overseas investment management businesses. The company is licensed by the SFC of Hong Kong for Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities and has obtained the QFII and RQFII qualifications.

To continue business, performance development and expansion, we are inviting high caliber to join the company.  Taikang Asset (HK) is an equal opportunity employer.  Welcoming diversity gives us a competitive advantage in the marketplace and drives our success.  Our workplace reflects our values.  We offer competitive benefits and development opportunities in the Company, and a culture of innovation that embraces internationalization, standardization, sustainability, collaboration and long term career growth.  If this sounds like the choice you want to make, Taikang Asset (HK) is your choice.

Job responsibilities

  • Report to the Head of Compliance
  • Perform pre/post-trade investment monitoring based on guidelines in Bloomberg AIM.  Periodical review investment guidelines
  • Conduct AML/KYC assessment, assist in daily AML monitoring and perform annual KYC review of the clients and name screening of employee onboard
  • Review internal/external communication & marketing materials, including product advertisements, RFPs, DDQs; Support bank/securities account opening from compliance perspective
  • Prepare regulatory reports and filings.  Assist internal and regulatory audits and investigations, support filing to regulatory authorities in respect of all compliance related matters in Hong Kong, Swiss, Korea, US etc; responsible for due diligence process review of the company or service providers
  • Conduct compliance monitoring and testing to ensure business operations compliance.  Consolidate results and compile reports
  • Monitor ongoing regulatory changes to businesses and establish and implement policy change
  • Other compliance related work such as monitor the CPT of the licensees; licensing, gift and Entertainment process; prepare training materials to supervisor; ad-hoc administrative work of the department

Job Requirements

  • University degree in Finance, Accounting or Law degree preferred
  • At least 5 years of compliance related experiences in asset management firm
  • Knowledgeable of asset management regulations and operational procedures
  • Familiar with Bloomberg AIM CMGR
  • Good command of written and spoken English and Chinese
  • Strong analytical skills with multi-tasking ability
  • A strong team player and able to engage people in all levels
  • A quick and enthusiastic learner who can work independently
  • Willing to work on public holiday and evening till 11pm on need basis

Interested parties please send your application letter and full resume with available date, current and expected salary to

(All personal data collected will be used for recruitment purpose only.)  

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