Investment Compliance - Asset Management Firm Investment Compliance - Asset Management Firm …

Randstad Hong Kong
in Hong Kong
Permanent, Full time
Be the first to apply
HKD40000 - HKD50000 per month + bonus
Randstad Hong Kong
in Hong Kong
Permanent, Full time
Be the first to apply
HKD40000 - HKD50000 per month + bonus
Investment Compliance - Asset Management Firm

about the company

Our client is an expanding Asset Management business in HK.



about the team

  • Dynamic working environment




about the job

  • Review Investment Management Agreement / Prospectus to ensure relevant investment restrictions are coded on Bloomberg AIM system and adjusted for on-going changes in the investment guidelines
  • Conduct pre-trade and post-trade compliance monitoring, report abnormal findings to business units and work for solutions
  • You will also be involved in preparing Licensing applications, requisite filings, notifications and regulatory survey including but not limited to SFC-authorized funds
  • Assist in conducting KYC & AML and reviewing marketing materials




skills & experiences required

  • Bachelor's Degree in Legal, Economics, Finance, Accounting or related discipline
  • At least of 3-5 years of relevant compliance experience in asset management / buy-side industry
  • Knowledge in existing rules and regulations of licensed for Type 1, 4, 9 preferred
  • Knowledge with Bloomberg AIM (trading rule coding) is a must, MS Office applications and Chinese word processing
  • Fluent spoken English and Chinese



To apply online, please click on the link. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479 or email: rouella.landicho@randstad.com.hk

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