About Our Client My client is a part of a very reputable group headquartered in Asia and are looking to bolster their seasoned team. They are very well versed with investment capabilities across domestic and global equity, fixed income, alternative investments and asset allocation.
Handling SFC applications and regulatory reports/filings in respect of SFC-authorized funds
Reviewing sales and marketing materials of SFC-authorized funds
Reviewing and updating compliance policy and procedures
Providing regular in-house compliance training
Performing AML/KYC review and due diligence checks on service providers/business partners
Oversee compliance around ETF products
The Successful Applicant
Hands-on experience in handling legal matters relating to investment funds / ETFs is required.
Investment monitoring / trade surveillance in respect of SFC-authorized funds (including ETFs), private funds and mandates
Knowledge in Bloomberg AIMS is highly preferred
Ability to work autonomously and as part of the team
Knowledge and experience in risk management are preferred
5-8 years of experience in compliance (Ideally in Hong Kong)
What's on Offer The candidate will be compensated at a competitive rate and has great opportunity within a reputable brand to grow and develop personally and professionally.