Associate | Compliance Associate | Compliance …

Green Court Capital Management
in Hong Kong
Permanent, Full time
Last application, 05 May 21
Competitive
Green Court Capital Management
in Hong Kong
Permanent, Full time
Last application, 05 May 21
Competitive
Associate | Compliance (Hong Kong)

Green Court Capital Management (GCCM) is one of the leading China-focused asset management companies, with over US$12.8 billion in client assets under management (as of 31 March 2021). With offices in Hong Kong, Shanghai and Singapore, the company focuses on fundamentally driven, bottom-up stock-picking in publicly listed Chinese companies wherein the investment team’s pedigree traces back to 2004. The team’s long track record, deep-conviction investment style, and robust operating model has attracted high quality clientele worldwide, including pension plans, endowments and foundations, sovereign funds, retirement plans and other world-class allocators of capital. A strong culture permeates the company, emphasizing integrity, partnership and long-term results. This culture, coupled with our flat organizational structure, makes it an ideal place to work for entrepreneurial, self-motivated individuals. The company is committed to being recognized globally as a preeminent investment organization.

GCCM has forty-two team members across three offices (Hong Kong, Shanghai and Singapore) and we are looking for an individual to join the non-investment side of our business as an Associate in the Legal and Compliance (L&C) Function. The L&C Function at GCCM covers a range of specialist business functions that support our investment and business operations such as regulatory, investments and AML/KYC matters of an investment management firm, driving regulatory initiatives and promoting a good compliance culture within the firm. Your main responsibilities will be supporting the L&C Function including the following:

  • Assist in conducting compliance reviews and perform ongoing monitoring of the investment guidelines
  • Perform periodic forensic transactions testing to detect for unusual investment patterns/trading activities
  • Assist in the regulatory compliance work (including licensing, code of ethics monitoring and regulatory filings)
  • Assist in the execution of the established compliance program of the firm
  • Assist in the AML/KYC review processes
  • Assist in maintaining effective internal policies and processes, internal compliance trainings and controls of the firm to ensure the compliance with the applicable regulations

We are looking for candidates that possess a strong work ethic and have an inquisitive mindset, who excel in an open and collegial working environment. Applicants should have the following qualifications and attributes:

  • University degree in Legal, Accounting or Finance related disciplines
  • 1-5 years of related work experience in compliance, legal, regulatory, audit or operational supports areas of investment management and securities firms
  • Strong understanding of basic investment concepts applicable to equities portfolio management
  • Good understanding of relevant rules and regulations (e.g. SFC, SEC, UCITS, 40 Act Mutual Fund guidelines, SFC Short Position Reporting, etc.)
  • Aptitude with major finance-related software: Excel, Word, Bloomberg, etc.
  • Self-starter with keen initiative, good organizational skills and detail-oriented
  • Team player with good interpersonal and communication skills
  • Proactive, self-motivated, well-organized and hands-on
  • Flexibility and ability to multi-task

To apply, email your CV and cover letter in English to recruitment@greencourtcap.com

Note: The preceding job description has been designed to indicate the general nature and level of the work performed by the intern. It is not designed to contain or be interpreted as the comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job.

 

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