investment compliance - investment management firm in Central and Western District

posted
contact
rouella jose landicho, randstad hong kong
job type
permanent
salary
HK$ 600,000 - HK$ 900,000 per year

job details

posted
location
central and western district
specialism
banking & financial services
job type
permanent
working hours
Full-Time
salary
HK$ 600,000 - HK$ 900,000 per year
reference number
91M0089017_1600353237
contact
rouella jose landicho, randstad hong kong
add to saved jobs print

job description

about the company

Our client is a leading Investment Management Firm with a strong global presence. about the job
  • Monitor the compliance of investment restrictions
  • Code and review the investment restrictions in the investment compliance monitoring system and test the effectiveness of the newly set-up or revised rules
  • Investigate the actual and potential investment breaches and trading errors and follow up with the relevant parties on the rectification
  • Coordinate brokers approval requests from Traders and Portfolio Managers
  • Perform trade surveillance activities
  • Provide Compliance advice on investment management activities, trading activities and investment products upon the requests and enquiries from internal and external stakeholders
skills & experiences required
  • Bachelor’s degree in financ or accounting
  • At least 4 to 8 years of relevant experience in investment compliance or fund operations
  • Good understanding of the asset management / buy-side industry and its regulatory environment in Hong Kong
  • Detail oriented, high integrity and excellent work ethics
  • Strong communication skills in both English and Chinese
To apply online, please click on the link. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479.

skills

investment compliance, trade surveillance, asset management, buy-side, compliance monitoring

qualification

CPA or CFA qualified - ideal but not a must

responsibilities

Investment Compliance - Investment Management Firm

educational requirements

Bachelor Degree