Compliance Associate, Investment Compliance
Location Hong KongCONTRACTOR
Consultant Carmen Chin
Date posted 03 August 2018 2018-08-032018-09-02 banking 41 Connaught Road Central Hong Kong Robert Walters Hong Kong
Role Overview: The compliance associate will help prevent, detect and mitigate compliance, regulatory and reputation risk across the firm and help strengthen the firm's culture of compliance. This is a 6-month initial contract with an opportunity to become a permanent staff.
- Help 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
- Support in dealing with corporate licensing related matters and deal with SFC on higher level issues
- Handle daily licensing-related matters in a timely manner, including preparing applications for individuals and filing annual returns to ensure compliance with local requirements
- Assist in conducting surveillance on the staff dealing and company’s trading activities to identify any potential insider trading.
- Update compliance manuals, policies, and procedures where appropriate.
- Assist to develop and implement compliance manual, procedures and monitoring programs to ensure they reflect current regulatory requirement, industry best-practice, and changes in business structure and activities.
- Liaise with internal teams and fund administrator to discuss AML/KYC requirements and support due diligence for new and existing clients.
- Assist in providing AML advisory support
- Assist in raising and maintaining compliance awareness among staff by providing timely information and publications
- Assist to implement and conduct compliance program and training
- Perform preliminary compliance risk assessments
- Perform pre-trade and post-trade monitoring of investment guidelines
- Bachelor's degree in finance or accounting
- At least 3 years of relevant experience in investment compliance or fund operations with strong understanding of regulatory requirements
- Good understanding of the asset management industry and its regulatory environment in Hong Kong
- Detail oriented, high integrity and excellent work ethics
- Strong communication and writing skills in both English and Cantonese
This is a leading hedge fund manager with a strong track record.