Responsible for supporting the control environment to ensure compliance policies and procedures are being properly adhered to. This position also helps maintain the compliance module in Bloomberg. Performs review of adherence to investment compliance policies and procedures in accordance with established guidelines. Performs ongoing investment compliance monitoring. Prepare regulatory and internal / external compliance reports and performs required follow up work. Keep team leader abreast of compliance-related issues. Perform preliminary research of regulatory updates for both local and overseas jurisdictions. Determine and sets up compliance rules in the Bloomberg Trading and Portfolio Management System. Support SFC licensing and continuous professional training monitoring process. Support review of personal investing activities and record keeping. Assist in broker counterparty review process and record keeping. Support business contingency arrangements by maintaining contact lists and records and coordinating regular checks for the compliance team. Maintain breach logs and supporting records. Assist with compliance related projects as assigned.

To be considered, you should be a Degree holder with around 2 to 4 years of compliance experience. Good communication skills. Ability to interpret compliance requirements. Attention to detail. Proficient in Microsoft Office. Ability to demonstrate a high degree of initiative and a strong sense of meeting deadlines.

Interested applicants should send a detailed resume to Kelly Kam quoting reference jdb-4117 via email.  Please click “APPLY NOW” button below

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

Recruitment Intelligence Consultants Limited (RIC) is a premier consultancy firm that specializes in the recruitment of banking, finance and accounting professionals. 

Specializing in the recruitment of senior executives in banking and financial sectors, the areas covered by RIC include: Asset Management, Private Banking, Operations, Internal Audit, Legal & Compliance, Finance & Accounting, Risk Management, Human Resources.

We strive to provide the best and professional services to both the clients and the candidates.