Asset Management Compliance Specialist Asset Management Compliance Specialist …

Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 19 Oct 20
Competitive
Ashford Benjamin Ltd
in Hong Kong
Permanent, Full time
Last application, 19 Oct 20
Competitive
We are currently partnering with various leading financial institutions who's keen to bring in compliance professionals with solid experience in asset management business.

Responsibilities: 

  • Ensure that Asset Management business operates in compliant within Fund Manager Code of Conduct and SFO;
  • Play a key role in providing compliance advise 
  • Maintaining an effective compliance and control system;
  • Perform pre-trade and post-trade compliance monitoring and investigation;
  • Involve in business related projects/ initiatives with potential compliance/ regulatory impacts;
  • Perform periodic monitoring/ surveillance according to relevant regulations and internal policies.

Requirements:

  • Not less than 5 years compliance experience in asset managmet field
  • Extensive knowledge of private funds, traditional funds, discretionary investment management services
  • Proficiency in Chinese and English
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