Compliance Officer, Asset Management

  • Attractive Remuneration Package
  • Hong Kong
  • Permanent, Full time
  • Achievers Recruitment Limited
  • 16 Oct 18

Our client is specialized in Asian fixed income manager. They actively manage money market, investment grade, high yield and special situations across both long-only and hedge fund portfolios, and provides client-focused solutions from white label funds to structured managed accounts catering to institutional client needs.

Responsibilities:

  • Provide advice to the firm in variuos areas, such as licensing, registration, KYC/AML, trading regulations, filing and reporting, firm/individual-level regulatory compliance, etc.
  • Handle surveillance of front office activities and enforce compliance policies generally
  • Monitor and research legal and regulatory developments
  • Handle regulatory license application, notifications and reporting matters.
  • Assist with the communication with and responding to inquiries from, regulators.
  • Maintain and update internal compliance policies, procedures and guidelines.
  • Co-ordinate ad hoc compliance projects.

Requirements:

  • Over 3 years of experience in a compliance generalist role in hedge fund firm or asset managers
  • Experience liaising and working with SFC and/or SEC.
  • Exposure to and knowledge of other jurisdictions, including EU and/or Chinese regulations/regulators a definite asset.
  • Ability to multitask and excel in a dynamic environment under pressure
  • Outstanding attention to detail and organization skills
  • Fluency in English and Mandarin (speaking and written), strong communication skills.

Interested parties please send your resume to cv-fs@achievers.com.hk

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