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This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.
...

Key Core Responsibilities

Trade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.
Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols, actively evaluating restricted/watch lists to mitigate risks associated with material non-public information (MNPI).
Regulatory Liaison & Advisory: Provide actionable, timely guidance to investment teams regarding complex strategies, and assist on global regulatory change projects and audit inquiries.
Risk & Reporting Systems: Partner with technology and operational teams to implement advanced monitoring mechanisms and deliver clear trend analysis and process improvements to senior compliance leadership.

Required Background & Experience

Education: Bachelor’s degree in Business, Law, Finance, or a related analytical discipline.
Industry Tenure: 3 to 8 years of experience in a fast-paced buy-side asset management or sophisticated trading environment.
Technical Knowledge: Proven exposure to automated trade order compliance platforms (e.g., Bloomberg AIM, Charles River, or equivalent), mutual fund guidelines, or portfolio risk frameworks.
Soft Skills: Strong problem-solving capabilities, exceptional written and verbal communication, and the agility to multi-task under high-pressure floor environments.
Language: Business fluency in English is mandatory; proficiency in Mandarin or Japanese is highly advantageous.

If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk.

This role sits within the specialized Asia Compliance branch of a premier, privately held global asset manager.

Key Core Responsibilities

Trade Monitoring & Overrides: Conduct daily real-time pre-trade and post-trade compliance reviews across diverse fund mandates and account structures to ensure adherence to strict investment guidelines and policies.
Information Barrier Management: Administer the front-office Information Barrier and wall-crossing protocols, actively evaluating restricted/watch lists to mitigate risks associated with material non-public information (MNPI).
Regulatory Liaison & Advisory: Provide actionable, timely guidance to investment teams regarding complex strategies, and assist on global regulatory change projects and audit inquiries.
Risk & Reporting Systems: Partner with technology and operational teams to implement advanced monitoring mechanisms and deliver clear trend analysis and process improvements to senior compliance leadership.

...

Required Background & Experience

Education: Bachelor’s degree in Business, Law, Finance, or a related analytical discipline.
Industry Tenure: 3 to 8 years of experience in a fast-paced buy-side asset management or sophisticated trading environment.
Technical Knowledge: Proven exposure to automated trade order compliance platforms (e.g., Bloomberg AIM, Charles River, or equivalent), mutual fund guidelines, or portfolio risk frameworks.
Soft Skills: Strong problem-solving capabilities, exceptional written and verbal communication, and the agility to multi-task under high-pressure floor environments.
Language: Business fluency in English is mandatory; proficiency in Mandarin or Japanese is highly advantageous.

If you are interested in this role, please click 'Apply Now' or send your CV directly to javis.cheung@randstad.com.hk.

experience
3 years
skills
An Asset Management Firm is seeking a Investment Compliance Associate
qualifications
Education: Bachelor’s degree in Business, Law, Finance, or a related analytical discipline.

Industry Tenure: 3 to 8 years of experience in a fast-paced buy-side asset management firm
education
Bachelor Degree

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summary

hong kong
permanent
full-time

specialism
banking & financial services
sub specialism
asset management
reference number
91M0271491_9150611153477325544

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compliance manager / associate.

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javis cheung

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