Assistant Manager/Manager – Compliance Control & Surveillance

Job Description

1. Perform post-trade compliance monitoring and trade surveillance activities
2. Develop compliance monitoring plan and conduct risk based compliance review in accordance with established compliance procedures
3. Keep compliance monitoring surveillance procedure manuals up to date to reflect applicable regulatory requirements and group policies
4. Prepare regular management information reports and presentation materials of compliance matters to stakeholders and governance bodies
5. Support due diligence review on outsourced providers
6. Participate in special projects on ad hoc basis as require

Requirements

1. Degree holder with minimum 5 years’ relevant experience preferable gained in asset management companies or regulatory authorities
2. Familiar with SFC regulations governing asset management companies
3. Relevant exposure in compliance monitoring or regulatory inspection
4. Good understanding of asset management business, products and services
5. Good team player with strong communication skills
6. Proficient in both spoken and written English and Chinese