Company                   A Global Asset Management Company

Location:                    Hong Kong

Responsibilities:

• Compliance checking on staff and funds trading
• Reviewing and updating internal guidelines and policies
• Reviewing the Disciplinary Procedure
• Monitor Compliance of both internal and external rules, regulations and guidelines
• Review and amend internal documents from time to time
• Advise Management on any Compliance issues or Compliance inquiries and identify potential impacts
• Review legal documents and liaise with lawyers for professional comments
• Liaises with the SFC for all Compliance issues (i.e. licensing, reporting, company inspection, etc)
• Organizing and preparing materials for Compliance training to all staff every quarter
• Provide Compliance training and briefing to all new staff
• Approve and record all staff dealing and confirm no staff break staff dealing policy
• Promote general Compliance awareness in Company
• Annual Submission of Business Risk Management Report to SFC
• Annual Submission of Fund Management Activities Survey Report to SFC
• Reviewing all Agreements/Contracts

Requirements:

• University degree holder
• At least 2 years of experience in the capacity of compliance in financial industry; candidates from legal firms are welcome to apply
• Experienced in communicating with SFC (especially regarding the application of licenses) is highly preferred
• Alert, hardworking, detail minded and self motivated
• Fluent in English and Chinese