Investment Compliance (Associate Director, Charles River) Investment Compliance (Associate Director, Charles  …

Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
HKD1200000 - HKD1200001 per annum
Selby Jennings
in Hong Kong
Permanent, Full time
Last application, 30 Nov 21
HKD1200000 - HKD1200001 per annum
Client with 14+B AUM USD is looking for a Senior Investment Compliance Officer (up to AD level).

Job duties

  • Daily monitoring of funds and accounts to ensure that their investment policies, guidelines and restrictions are followed
  • Identify research and escalate potential compliance violations and trade oversight cases directly
  • Recommend alternatives for resolution and follow up with portfolio managers, traders and others where appropriate
  • Supporting the SFC application process, and working with other departments to ensure timely and quality submission of regulatory required periodic reports, and supporting the management team
  • Responsible for educating employees regarding regulatory requirements
  • Assisting with the maintenance of policies and procedures
  • Prepare, review and analyse various routine and ad hoc reports.

  • Charles River experience is a must
  • 8 years+ of experience in financial services environment
  • Strong analytical and problem-solving abilities and attention to detail
  • Strong oral and written communication and presentation skills
  • A team player with good interpersonal skills, assertiveness and ability to work independently
  • Strong Microsoft Office knowledge, including Excel and Microsoft Access
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