Compliance Advisor- Global Asset Manager
- Hong Kong
- Permanent, Full time
- Chandler Macleod
- 17 Jan 18 2018-01-17
A global leading Asset Manager is looking for a Compliance Advisor to join in their team in Hong Kong.
- Investment Compliance
- Global Asset Management
- Key New Position
- Daily monitoring of equity and fixed income funds and accounts to ensure that their investment policies, guidelines and restrictions are followed
- Identify research and escalate potential compliance violations and trade oversight cases directly or assist other Compliance colleagues in performing those tasks.
- Recommend alternatives for resolution and follow up with portfolio managers, traders and others where appropriate
- Supporting the Material Non Public Information ("MNPI") Policy and Procedures, including establishing and removing information barriers
- Supporting the SFC application process, and working with other departments to ensure timely and quality submission of regulatory required periodic reports, and supporting the management team
- Educating employees regarding regulatory requirements
- Assisting with the maintenance of policies and procedures
- Prepare, review and analyse various routine and ad hoc reports.
- 4 years+ of experience in financial services environment (preferably in the area of asset management compliance or mutual fund operations)
- Strong analytical and problem-solving abilities and attention to detail
- Strong oral and written communication and presentation skills
- A team player with good interpersonal skills, assertiveness and ability to work independently
- Strong Microsoft Office knowledge, including Excel and Microsoft Access