Compliance Advisor- Global Asset Manager

  • Negotiable
  • 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

Responsibilities:

  • 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.


Requirements:

  • 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