INVESTMENT COMPLIANCE MANAGER / AVP

  • Competitive package
  • Hong Kong
  • Permanent, Full time
  • Recruitment Intelligence Consultants Limited
  • 24 Nov 17 2017-11-24

An international asset management company is looking for a high caliber professional to join as Investment Compliance Manager/ AVP. The position is based in Hong Kong.

  • International Asset Management Firm
  • Excellent Exposure

Our client is an international asset management company with an unparalleled reputation across the Asia Pacific region.  With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join them in Hong Kong.

Assist and support the business with respect to the on-going development, implementation and monitoring relevant to the asset management business in Asia. Portfolio Compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post trade monitoring.  Trade surveillance monitoring.  Disclosure of Interests monitoring and reporting.  Review and production of reports to external clients, internal clients and regulators. Harmonize, implement, review and maintain global and regional policies for AP offices. Provide advice to businesses on relevant regulatory and policy requirements applicable to AP offices Perform compliance testing as identified in the Compliance Program include proxy voting, , soft dollars, best execution, fair allocation, insider dealing etc. Provide training to relevant teams relating to regulations and internal policies. Perform any ad-hoc tasks or projects as needed.

To be qualified, you should be a Degree holder with around 3 to 5 years of relevant experience.  Hands-on investment compliance monitoring experience. Experience in investment monitoring of MPF, US/ Lux funds preferred. Knowledge of Bloomberg AIM preferred.  Excellent communication skills.

Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2820.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)