Compliance, Asst Manager_Fluent Mandarin & English

  • Neg
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • ManpowerGroup Hong Kong
  • 15 Mar 18 2018-03-15

A Prestige Asset Management firm with SFC Type 9 RA License in Central

Job duties:

  • Ensure investment compliance primarily with the use of the trading system - Bloomberg AIM.
  • Code investment restrictions and guidelines into the trading system for pre-trade and post-trade compliance monitoring.
  • Flag, resolve, and report both active and passive investment breaches in a timely manner.
  • Handle regulatory and general compliance matters for example employees’ personal dealing and other regulatory reporting and filings.
  • Review marketing materials with regards to investment capabilities and collective investment schemes.
  • Assist in the liaison with internal/external parties and regulators on other regulatory and general compliance matters.



  • At least 2-3 years of hands-on investment compliance experiences ideally with Bloomberg AIM. However experiences in other trading systems will also be considered.
  • Prior compliance experiences in asset management firms (i.e. with SFC Type 9 RA License) preferred.
  • Familiar with collective investment schemes with underlying investments of equities, fixed income, and financial derivatives.

Interested parties, please send your resume in MS WORD format with current and expected salary and availability to