Responsibilities:

General Compliance

lSupport the Company on full spectrum of compliance functions, including but not limited to implementation of compliance policy, procedures and other compliance controls etc.

lReview and comment on asset management agreements, investment management and investment advisory agreements, distribution agreements etc.

lMonitor staff-dealing activities and manage sanctions risks.

lPerform KYC checks and reviews for clients and counterparties.

lUpdate policies and procedures with respect to emerging regulatory reforms or new business initiatives.

Investment and Product Compliance

lSet up and monitor investment rules and restrictions in trade compliance system and ensure investment compliance according to UT codes and specifics of the funds.

lLiaise with local and overseas regulators in relation to the Company’s product offerings. Review and update offering documents, marketing materials and relevant notifications.

Risk Management

lResponsible for general risk management monitoring and reporting on risk indicators of investment portfolios and products.

lWork with CIO and Fund Managers to formulate, implement and maintain risk framework and policies.

lDevelop methodologies for quantifying and analyzing market risks, producing Stress, VAR and/or other market risk measures when necessary.

lMonitor funds operate according to approved fund characteristics and other risk guidelines on an ongoing basis.

 Requirements:

lBachelor Degree holder of Law, Accounting, Finance or relevant disciplines. CFA or FRM preferred

lA minimum of 3-4 years of relevant compliance experience in reputable financial institutions, with prior experience in Fund House definitely an advantage.

lGood knowledge of SFC regulations and other relevant regulations.

lStrong communication, and analytical skills.

lStrong quantitative skills (VBA, Databases…) and working knowledge of Bloomberg, , Barra or similar systems beneficial