Compliance Officer/Compliance Manager
- Hong Kong
- Permanent, Full time
- Da Cheng International Asset Management Company Limited
- 15 Jan 18 2018-01-15
To support the expansion of our asset management business, Da Cheng International Asset Management Co. Ltd. is currently seeking compliance officer/Manager candidate. The successful candidate will be provided with a collegial work environment, a fast track in career progression and a competitive remuneration.
Established in 2009, Da Cheng International Asset Management Co. Ltd. (“Da Cheng International”) is a fully-owned subsidiary of Dacheng Fund Management Co., Ltd. (“Dacheng Fund Management”).
Dacheng Fund Management was established in 12 April 1999, with a registered capital of RMB 200 million. Its line of business ranges from mutual funds to private equity management, investment mandates from the National Council for Social Securities Fund and qualified domestic institutional investor (QDII) related business. As of 31 December 2016, Dacheng Fund Management had been managing and advising for approximately RMB 140 billion of assets for our clients.
Da Cheng International is the manager of three actively managed SFC authorized funds, the Da Cheng China Balanced Fund, the Da Cheng China RMB Fixed Income Fund and the Da Cheng Overseas China Concept Fund. It is also a Hong Kong Representative for mutual recognition fund Dacheng Domestic Demand Growth Mixed Fund and various private funds.
Compliance Officer/Compliance Manager
1. Work closely with the Investment Team to provide daily support for their ongoing business requirements on investment guideline management controls, set up investment restrictions in Bloomberg/AIM for approving & reviewing.
2. Perform day-to-day investment guideline management activities in the compliance module in Bloomberg, determine and provide guidance in interpretation of rules for setting into the system.
3. Assist to review and monitor the company’s ongoing and new business in compliance with requirements of relevant regulatory bodies, and to ensure the company’s internal procedure and policies are in line with latest rules and ordinance.
4. Assist in dealing with corporate licensing related matters and deal with SFC.
5. Assist in develop and implement compliance manual, procedures and monitoring programs to ensure they reflect current regulation, industry best-practice, and changes in business structure and activities.
6. Assist in providing AML advisory support to the Marketing Team.
7. Negotiate master agreement terms with various counterparts while at the same time act as the company's hub to liaise with external legal advisors.
1. University graduate in Law with 2-3 years relevant working experience. Candidate who has more legal and compliance experience in licensed financial institution will be considered as Senior Officer or Compliance Manager.
2. Logical thinking with strong sense and knowledge on regulatory requirements.
3. Familiar with regulatory environment in financial industry.
4. Good command of written & spoken English and Chinese, Mandarin a plus.
5. Proficiency in PC skills and MS office applications, such as Excel and MS Word.
6. Responsible, trustworthy with positive attitude and a good team player.
7. Candidate with growth mindset and willingness to learn a must.
As a caring company, we offer comprehensive wellness programs, flexible working environment and career development opportunities to employees. Our employee benefits include:
• 5-day Work
• Performance Bonus
• Annual Leave and Company Holidays
• Group Medical Insurance
• Transportation allowance, Telephone allowance
5. 熟練使用計算機技術和MS office辦公軟件，如EXCEL, MS Word；
Please send your resume with full details of experience and qualifications, current and expected salary and available day to the Head of Administration & Human Resources, Da Cheng International Asset Management Co. Ltd., Suites 3516-3519, Jardine House 1 Connaught Place, Central, Hong Kong or mail to: firstname.lastname@example.org
Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies and for recruitment purposes only.