Our private investment firm hires Investment Compliance Officer in VP level.

Responsibilities  

Rule interpretation and implementation of procedures and processes

- Ensure implementation of processes/procedures

- comply with laws and regulations

- Ensure coverage policies and procedures are drafted and updated accordingly

Monitoring, test checks, desk reviews and investigations

Contact with regulators and auditors

- Liaise with internal and external auditors

- Provide input to responses to inquiries from Exchanges and regulatory bodies
-Provide guidance and advice on legal and regulatory requirements, transactions, new products and other business initiatives

- Provide training to employees on a regular basis on their duties under the applicable laws and regulations as well as under company policies

QUALIFICATIONS

- Degree in Law or Business Administration

- Experience in Compliance with an investment bank, Asset Manager or in another financial institution

- Sound knowledge of banking and securities law/regulation (including rules for Investment Banking business, Sales & Trading, algorithmic trading, asset management

- Familiar with business operation of Institutional Sales and Trading, Investment Banking, Investment Management

- Fluent in written and verbal Chinese and English

What you’re now to do:

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