Investment Compliance

Responsibilities:

• Manage Compliance communications with regulators.
• Manage Investment Compliance for the Firm using Bloomberg AIM, EzeSoft OMS, and Wind AMS.
• Perform compliance reviews and risk assessments to identify and address gaps.
• Provide regulatory updates and compliance advice on business initiatives.
• Liaise with regulators on handling SFC Type 1, 4 and 9 licensing, inquiries, and ongoing reporting requirements.

Requirements:

• A relevant degree in law/accounting/finance.
• Minimum 3-5 years of compliance experience in Financial Institutions (Ideally an Investment Compliance role at an Asset Manager).
• Strong understanding of the buy-side market and fund compliance, with strong regulatory knowledge (SFC, MAS).
• Extensive experience in Bloomberg AIM, EzeSoft OMS, Wind AMS (or equivalent).
• Good spoken and written ability in English and Mandarin.