We are currently partnering with various leading financial institutions who's keen to bring in compliance professionals with solid experience in asset management business.
- 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.
- 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