Compliance Officer/Compliance Manager

  • Negotiable
  • 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.

Employee Benefits:
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


1. 與投資團隊緊密合作,因應持續的業務需求,為其在投資管理控制指引上提供日常的法務支援,在彭博及AIM設置投資限制,以便審查;
2. 在彭博的合規模塊執行日常投資管理指引,確定並指導在系統設定的規則;
3. 按照相關監管機構的要求協助審查及監督公司的新業務,確保公司內部程式及政策符合最新的規章制度;
4. 協助處理公司牌照事宜及證監會相關事宜;
5. 協助制定完善合規手冊、程式及監控專案,以確保它們反映了當前的法規、行業典範,以及行業結構等變化;
6. 為行銷團隊提供AML(反洗錢)諮詢支援;
7. 與相關方協商主協議條款,負責與外部律師事務所對接。

1. 法學相關專業本科及以上學歷,擁有2-3年相關工作經驗。在持牌金融機構擁有較為豐富法律合規經驗者或將有機會成為高級合規主任/合規經理;
2. 法律邏輯思維能力強,良好的法規知識;
3. 熟悉金融监管机构的监管要求及政策法规;
4. 良好的中英文書寫、口語能力,普通話優先;
5. 熟練使用計算機技術和MS office辦公軟件,如EXCEL, MS Word;
6. 有責任感、誠實可靠、積極的工作態度及良好的團隊意識;
7. 候選人需具備成長型思維及學習的主動性。

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:

Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies and for recruitment purposes only.