VP, Asset Management Compliance – Investment Banking VP, Asset Management Compliance – Investment  …

Charterhouse Partnership Hong Kong
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 02 Apr 20
Excellent
Charterhouse Partnership Hong Kong
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 02 Apr 20
Excellent
Posted by:
Charterhouse Partnership Hong Kong
Posted by:
Recruiter
• Minimum 6 years asset management compliance experience • Investment Banking • Required – Chinese and English language skills

Responsibilities:

  • Ensure that Asset Management business operates in compliant within Fund Manager Code of Conduct and SFO;
  • Play a key role in providing compliance input when setting up new investment products;
  • Support investment team (PE & Asset Management) in maintaining an effective compliance and control system;
  • Handle day-to-day compliance tasks related PE & Asset Management;
  • Perform pre-trade and post-trade compliance monitoring and investigation;
  • Involve in other compliance and business related projects/ initiatives with potential compliance/ regulatory impacts;
  • Provide compliance advice and support to the other Asset Management businesses and liaise with other compliance teams on other investment management businesses;
  • Review new product proposal and assist in the product documentation and registration process;
  • Perform periodic monitoring/ surveillance according to relevant regulations and internal policies.

Requirements:

  • Bachelor’s degree holder in relevant disciplines with good understanding in Fund Management space;
  • At least 6 years' relevant experience in financial institutions;
  • Good knowledge of the financial markets and investment products;
  • Strong knowledge of SFC rules applicable to Asset Management business with a strong ability to interpret regulations and assess operational compliance standard;
  • Willing to work as part of a Compliance team, where interdependencies will be common and ongoing;
  • Excellent command of spoken and written Chinese and English (including Mandarin). 

If you are interested in finding out more about this career opportunity, please email your resume to Nestor Roldan, enquiries@ charterhouse.com.hk  Tel: (852) 3151 1300 Web: www.charterhouse.com.hk

Charterhouse Partnership Hong Kong is here to assist you in your job search. Our experienced recruitment consultants will provide you career advise and assist you in developing a tailored job search strategy

Company Overview
about charterhouse

Charterhouse was formed in 2003 in Australia and it has established itself as a reputed recruitment specialist in its industry. With footprints in Asia, Australasia and the Middle East, we offer professional and bespoke contingency and retained search services across a variety of industrial sectors.

For more information on how we can help you, give us a call for a confidential discussion at (65) 6435 5600.

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