investment compliance - asset management firm` in Central and Western District

posted
contact
rouella jose landicho, randstad hong kong
job type
permanent
salary
HK$ 40,000 - HK$ 50,000 per month

job details

posted
location
central and western district
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 40,000 - HK$ 50,000 per month
reference number
91M0152132_1610592503
contact
rouella jose landicho, randstad hong kong
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job description

about the company

Our client is an expanding Asset Management business in HK.

about the team
  • Dynamic working environment
about the job
  • Review Investment Management Agreement / Prospectus to ensure relevant investment restrictions are coded on Bloomberg AIM system and adjusted for on-going changes in the investment guidelines
  • Conduct pre-trade and post-trade compliance monitoring, report abnormal findings to business units and work for solutions
  • You will also be involved in preparing Licensing applications, requisite filings, notifications and regulatory survey including but not limited to SFC-authorized funds
  • Assist in conducting KYC & AML and reviewing marketing materials
skills & experiences required
  • Bachelor's Degree in Legal, Economics, Finance, Accounting or related discipline
  • At least of 3-5 years of relevant compliance experience in asset management / buy-side industry
  • Knowledge in existing rules and regulations of licensed for Type 1, 4, 9 preferred
  • Knowledge with Bloomberg AIM (trading rule coding) is a must, MS Office applications and Chinese word processing
  • Fluent spoken English and Chinese
To apply online, please click on the link. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk

skills

investment compliance, guideline monitoring, trade compliance, trade surveillance, SFC, asset management compliance, business compliance

qualification

CPA or Legal qualification - ideal but not a must

responsibilities

Investment Compliance - Asset Management Firm

educational requirements

Bachelor Degree