Legal and Compliance – Asset Management
GF International Investment Management Limited
- Company Industries：Financial Services
Job Information
- Post Date：2022-08-30
- Career Level：Entry Level
- Location：Central
- Yr(s) of Exp：3 years
- Qualification：Degree
- Employment Type：Full Time, Permanent
- Job Function：Banking / Finance Asset Management
- Benefits：Dental insurance, Education allowance, Life insurance, Medical insurance, Overtime pay, Performance bonus, Work from home, Five-
Job Description
We are inviting 1 Compliance talent with asset management background to join us.
Responsibilities
- Review KYC package and monitor AML activities.
- Work closely with external lawyers for the establishment of fund products.
- Review and comment on offering documents of fund products.
- Draft and review legal document (e.g. investment management agreements and advisory agreements).
- Draft and review internal policies and procedures.
- Handle licensing and corporate government matters.
- Liaise matters with regulators (e.g. the SFC) and lawyers.
- Monitor staff dealing and conduct regular compliance check.
- Prepare in-house compliance training materials.
- Perform internal audits.
- Support Head of Legal and Compliance to provide guidance and advice to business on compliance and regulatory requirements.
- Participate in responding regulatory reporting, enquiries, surveys, examinations and ad-hoc projects.
Requirements
- University graduated or higher degree in Laws, Finance, Business Administration or relevant disciplines with at least 3 years' relevant experience in financial industry, preferably with investment management.
- Good knowledge of Hong Kong regulatory regime, familiar with relevant codes and rules by the SFC, experienced in dealing with regulators.
- Experience of Hong Kong authorized funds will be an advantage.
- Good command of written English and Chinese, conversational Putonghua required.
- Excellent communication skills and problem-solving skills.
- Ability to work independently and in a team.
If you are interested in this position, please submit your updated profile to hr[at]gffunds.com.hk or click "Apply Now".
Company Info
广发基金管理有限公司成立于2003年，公司总部设在广州，在北京、上海、广州、南京、成都设有分公司，并设立了全资子公司广发国际资产管理有限公司和瑞元资本管理有限公司。
公司及旗下子公司拥有公募基金管理、社保基金境内委托投资管理人、基本养老保险基金证券投资管理机构、特定客户资产管理、基金投资顾问、QDII、QFII、RQFII、受托管理保险资金投资管理人和保险保障基金委托资产管理投资管理人等业务资格，是具备综合资产管理能力与经验的大型基金管理公司。
截至2021年12月31日，公司管理资产规模超万亿，管理开放式基金295只，同时还管理多个特定客户资产管理投资组合、社保基金投资组合、养老基金投资组合。公司产品线齐全，旗下产品覆盖主动权益、债券、货币、海外投资、被动投资、量化对冲、另类投资等不同类别。
公司网址：http://www.gffunds.com.cn/
| Position | Company | Location | Update |
|---|