Investment Compliance AM Investment Compliance AM …

Michael Page
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 29 Mar 20
HKD35000 - HKD45000 per annum
Michael Page
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 29 Mar 20
HKD35000 - HKD45000 per annum
This is a newly created role to oversee the investment compliance with the Asset Management side of the business, shaping the growing team and working with the senior management to be able to ensure the correct guidelines and regulations as well as internal framework are adhered to.

My client is a US business with various arms and over $500 million USD globally. Their asset management arm is a growing business in Asia.


  • Monitor service providers by reviewing regular reports, conducting due diligence, on-site visit, including but not limited to fund administrator, transfer agency, etc.;
  • Engage/monitor investment management trading and reporting activities;
  • Investigate potential breaches and ensure remediate actions are executed;
  • Check quarterly performance reports and investment management invoices;
  • Ensure activities comply with the local regulator(s). Monitor investment restrictions and administration practices;
  • Implement and monitor procedures and practices;
  • Conduct reviews on and responding to enquiries from the regulating bodies;
  • Perform periodic monitoring/ surveillance according to relevant regulations and internal policies;
  • Monitor pre/post trades periodically;
  • Monitor the activities of investment managers and investment delegates by setting, reviewing relevant indicators and reports;
  • Provide supports and perform other investment related duties and special projects as required from time to time


Educational Qualification:

  • Degree holder in Law, Business, Finance, Accounting or related disciplines

Job related experience required:

  • Minimum 3 years of relevant compliance experience gained within asset management, investment and/or pension industry
  • Well-versed in SFO codes and other regulatory requirements, e.g. AML/CFT, FATCA and CRS.

Competencies and Soft skills required:

  • Attentive to details, strong analytical and problem-solving skills.
  • Self-motivated, well-organized, able to work under pressure and multi-tasks with tight deadlines
  • Excellent communication and interpersonal skills
  • Proficiency in both written and spoken English and Chinese

Job Offer

There is a competitive package and growth opportunity for the right candidate within a international growing business

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Nicholas Debbage on +852 2848 9525