We are now seeking candidates to join our compliance team as a Compliance Associate. More experienced candidate may be considered as Senior Compliance Associate. Reporting to the Senior Vice President – Head of Legal and Compliance, you will be responsible for maintaining and executing OPIM’s internal policies which help the company to maintain its corporate integrity and regulatory compliance. You will also be responsible for providing assistance during fund onboarding process from due diligence to reviewing fund prospectus. With your background in legal or finance related industry, you will be instrumental to helping OPIM fortify its compliance and regulatory framework and further extend leadership in the market. On-the-job training will be provided.

Responsibilities:

• Assist in performing compliance monitoring tasks and report to senior compliance staff on periodic basis;
• Provide support in fund onboarding projects including fund documentation review, account opening, AML screening and KYC verification;
• Coordinate and communicate compliance requirements relating to fund activity with external and internal stakeholders;
• Keep abreast of regulatory updates and ensure timely revision and implementation of relevant policies and procedural manuals;
• Perform tasks relating to SFC licensing, amongst others, completing questionnaires, applying licences and submitting notifications and returns;
• Assist senior compliance staff on other ad hoc duties;
• (For Senior Compliance Associate) Lead ad hoc compliance projects for example perform research and gap analysis in consideration of implementing compliance management advancement.

Requirements:

• Bachelor degree holder, preferably in law, finance or related discipline;
• At least two years of experience in regulatory compliance field (more experienced candidate will be considered as Senior Compliance Associate);
• Knowledge in SFO and SFC codes and guidelines (particularly relating to private funds and manager) is required;
• Good research and communication skills;
• Proficient in spoken and written English and Chinese;
• Self-motivated, analytical and attention to details;
• Able to work efficiently under pressure and in a team environment.

Please apply in confidence with full resume stating your recent and expected salary to the HR Manager Ms. Carmen Lau, 9/F, The Wellington, 198 Wellington Street, Central, Hong Kong (Data collect would be used for recruitment purpose only).

Applicants who do not receive a substantive reply within two months may assume their applications unsuccessful. 

www.opim.com.hk 

OP Investment Management is a leading asset management company based in Hong Kong, part of the Oriental Patron Financial Group. We manage Asia-focused hedge fund strategies in the region and provide asset management platform solutions to emerging managers. Our coverage extends across all major Asian and global markets from China, U.S., EU, through the Middle East and India.