We are a fast growing investment asset manager with a solid PRC insurance background. At this time, we are looking for a talented Credit Risk candidate to join our Risk Management Team as a Compliance Assistant
- Assist in the License(s) applications for Corporate licenses and individual licenses (viz. Responsible Officers and Representatives);
- Assist in the various Licensing Notifications;
- Assist in the Annual Licensing Declarations;
- Assist in preparing data in responding to queries raised by SFC
Pre-trade Risk Control & Post-trade Compliance Monitoring
- Assist to set pre-trade compliance rules according to prescribed investment restrictions
- Promptly analyze real-time investment restriction alerts and give clearance if needed
- Assess post-trade compliance alerts/reporting and suggest the corrective actions as quickly as possible to investment managers.
General Legal Support
- Assist NDA / general commercial contracts review.
- Degree holder in Finance/Accounting/Law/Risk Management or other related disciplines;
- Minimum 1-4 years of relevant experience in Compliance and Legal industry;
- Strong knowledge in SFC rules and regulations in respect to Type 4 and 9 regulated activities;
- Excellent communication and interpersonal skills;
- Highly independent, self-motivated and flexible;
- Good written and oral skills in English and Cantonese, with proficiency in Putonghua a plus
Interested parties please submit a detailed resume in MS WORD format, including availability, present, and expected salary, by e-mail to firstname.lastname@example.org. We regret that we will not be able to respond to all applications as only shortlisted candidates will be notified.
Data collected will be kept in strict confidence and used for recruitment purposes only.