About Our Client My client is a wholly owned subsidiary of a reputable international business with great backing. As a market leader across Asia with a hub in Hong Kong my client is looking for sustainable growth across the region.
Job Description
Manage fund applications with SFC including without limitation new fund applications for SFC authorization, scheme change applications and revisions of offering documents. Liaise with relevant stakeholders throughout the process.
Handle regulatory reporting and enquiries. Coordinate internally and provide necessary compliance support for senior management to handle regulatory inspections.
Conduct investment monitoring and trade surveillance in respect of SFC-authorized funds (including ETFs), private funds and mandates. Knowledge in Bloomberg AIMS is highly preferred.
Review agreements and contracts and liaise with external legal counsel if necessary.
Keep track of regulatory developments and update the internal compliance policy accordingly. Enhance the internal procedures and practices to improve the compliance programme.
Investigate and resolve any compliance issues such as investment breach.
Conduct in-house training to nurture a good corporate compliance culture.
Handle SFC licensing related matters such as application of license and ongoing licensing obligations.
Act as the compliance representative in all projects and initiatives
Work collaboratively with business unit representatives to ensure regulatory/compliance risks and considerations are addressed
The Successful Applicant
Undergraduate Degree or above
A minimum of 8 years working experience in the compliance field of the investment management industry
Extensive knowledge of SFC regulatory framework with direct relevant experience
Good product knowledge - investment funds/ ETFs
Excellent interpersonal and influencing skills
Mentoring, management and leadership skills
Highly organised and able to make critical, time sensitive decisions under pressure and produce results without supervision
Ability to handle heavy workload under tight time frames and prioritise appropriately
A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts
Excellent language skills including both English and Chinese
What's on Offer The selected candidate will be offered a very competitive package and a great platform for professional and person growth.
