Job Description
- Perform post-trade compliance monitoring and trade surveillance activities
- Develop compliance monitoring plan and conduct risk based compliance review in accordance with established compliance procedures
- Keep compliance monitoring surveillance procedure manuals up to date to reflect applicable regulatory requirements and group policies
- Prepare regular management information reports and presentation materials of compliance matters to stakeholders and governance bodies
- Support due diligence review on outsourced providers
- Participate in special projects on ad hoc basis as require
Requirements
- Degree holder with minimum 5 years’ relevant experience preferable gained in asset management companies or regulatory authorities
- Familiar with SFC regulations governing asset management companies
- Relevant exposure in compliance monitoring or regulatory inspection
- Good understanding of asset management business, products and services
- Good team player with strong communication skills
- Proficient in both spoken and written English and Chinese