Objective / Summary of Responsibilities:

Primarily responsible for supporting the Head of Legal and Compliance in Hong Kong on regional and HK compliance related matters.

Job Duties:

• Assist the Head of Legal and Compliance and Legal and Compliance Manager in discharging the responsibilities of compliance in general;
• Handle daily investment guidelines monitoring of portfolio / trading activities, and rules set-up and testing in Bloomberg POMS;
• Handle application and related change of SFC license;
• Prepare training material for Continuous Professional Training;
• Conduct compliance review and/or testing for compliance monitoring purpose of policies and procedures;
• Assist in review of marketing advertisement and provide compliance related advice on new products and services;
• Assist in internal, external and regulatory audits;
• Assist in compliance ad hoc projects, regulatory and other official enquiries.
  
  
  

Requirements:

• Bachelor Degree with major in Accounting, Finance or related discipline;
• Minimum 3-4 years of compliance experience in asset management companies, with solid experience in investment guidelines monitoring;
• Familiar with relevant SFO as well as subsidiary regulations, knowledge and work experience related to UCITS funds and US mutual funds is an advantage;
• Good analytical and communication skills and able to work independently;
• Strong team-player with a keen eye for details;
• Proficient in written and spoken English and Chinese;
• Candidates with more experience will be considered for the position of Legal and Compliance Manager
  
  
  

If you would like to apply for this position, please apply online or send your resume to hk-hr@miraeasset.com.hk. Kindly note that only shortlisted candidates will be notified.

Personal data will be used for recruitment purpose only.