Career

Compliance Officer

Key Responsibilities:

• Provide support in compliance matters of the investment manager and its funds/investment; Consult and liaise with external counsels and advisors as needed
• Keep the firm updated with their license (type 9 w/ HKSFC) requirements
• Answer enquiries from and establish good relationship with regulators, e.g. SFC
• Monitor daily liquid capital position and compile semi-annual FRR to SFC to report portfolio holdings
• Analyze and monitor the operational risks of the company, e.g. trade limits, failed trades

Required skill, experience and attributes:

• University graduate with 1-2 years working experience in compliance, preferably in the financial services environment such as asset management and securities firms; Fresh graduates with a law degree will also be considered
• Familiarized with the Securities and Futures Ordinance, regulations and all relevant rules and guidelines in relation to the fund management industry
• Strong analytical skills, problem solving ability and attention to details
• Proficiency in both spoken and written English and Chinese
• Self-motivated and ability to work independently
• Basic programming skill will be a plus

Please send your application to [email protected].