PE Fund- Compliance Analyst
Salary Medical, Bonus, MPF
Consultant Jaja Wu
Date posted 21 December 2018 2018-12-212019-02-19 financial-services Central Central and Western District HK HKD 600000 960000 960000 MONTH Robert Walters https://www.robertwalters.com.hk https://www.robertwalters.com.hk/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
An excellent Compliance job has just arisen at a leading private fund manager. The main responsibility is to support COO with global licensing and regulatory compliance work.
- Provide compliance advice to the firm in areas such as SFC, HKEX, SEC, CFTC, and AMAC licensing, registration, KYC/AML, trading regulations, filing and reporting, firm/individual-level regulatory compliance, etc.
- Handle surveillance of front office (including investment, trading and marketing) activities and enforce compliance policies generally.
- Approve personal account dealing, gift/entertainment and other compliance requests, and maintain appropriate records.
- Monitor and research legal and regulatory developments in relevant jurisdictions (including HK, US, EU, SG) and promptly report internally of implications for the company and the group.
- At least 2 years experience in a compliance role in a bank or investment fund.
- Experience liaising and working with SFC.
- Exposure to and knowledge of other jurisdictions, including EU and/or Chinese regulations/regulators will be a definite asset.
- Fluency in English and Mandarin (speaking and written), strong communication skills.