• Reputable brand• Wide opportunity
About Our Client
My client is a wholly owned subsidiary of a reputable international business with great backing. As a market leader across Asia with a hub in Hong Kong my client is looking for sustainable growth across the region. Job Description
- Manage fund applications with SFC including without limitation new fund applications for SFC authorization, scheme change applications and revisions of offering documents. Liaise with relevant stakeholders throughout the process.
- Handle regulatory reporting and enquiries. Coordinate internally and provide necessary compliance support for senior management to handle regulatory inspections.
- Conduct investment monitoring and trade surveillance in respect of SFC-authorized funds (including ETFs), private funds and mandates. Knowledge in Bloomberg AIMS is highly preferred.
- Review agreements and contracts and liaise with external legal counsel if necessary.
- Keep track of regulatory developments and update the internal compliance policy accordingly. Enhance the internal procedures and practices to improve the compliance programme.
- Investigate and resolve any compliance issues such as investment breach.
- Conduct in-house training to nurture a good corporate compliance culture.
- Handle SFC licensing related matters such as application of license and ongoing licensing obligations.
- Act as the compliance representative in all projects and initiatives
The Successful Applicant
- Work collaboratively with business unit representatives to ensure regulatory/compliance risks and considerations are addressed
- Undergraduate Degree or above
- A minimum of 8 years working experience in the compliance field of the investment management industry
- Extensive knowledge of SFC regulatory framework with direct relevant experience
- Good product knowledge - investment funds/ ETFs
- Excellent interpersonal and influencing skills
- Mentoring, management and leadership skills
- Highly organised and able to make critical, time sensitive decisions under pressure and produce results without supervision
- Ability to handle heavy workload under tight time frames and prioritise appropriately
- A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
What's on Offer
- Excellent language skills including both English and Chinese
The selected candidate will be offered a very competitive package and a great platform for professional and person growth.