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Head of Investment Compliance, Global Asset Management Firm

  • Investment/Portfolio Compliance
  • Team Management Position
  • Attractive Remuneration Package

Our client is a global Asset Management firm with a well-known brand across Asia. A fantastic opportunity has arisen for an experienced investment compliance professional to join the Hong Kong business and lead the team.

The key responsibilities for this position are as follows:

  • Lead the team and ensureinvestmentcompliance primarily with the use of the trading system.
  • Codeinvestmentrestrictions and guidelines into the trading system for pre–trade and post–trade compliance monitoring.
  • Meeting with compliance related system vendor for product updates and service review.
  • Work with Senior Management on innovation projects related to investment compliance.
  • Guide the team to flag, resolve, and report both active and passiveinvestmentbreaches in a timely manner.
  • Handle regulatory and general compliance matters for example employees’ personal dealing and other regulatory reporting and filings.
  • Review marketing materials with regards toinvestmentcapabilities and collectiveinvestmentschemes.
  • Assist in the liaison with internal / external parties and regulators on other regulatory and general compliance matters.

Successful applicants will have the following skills and experience:

  • Minimum of 8 years’ experience in investment /portfolio compliance.
  • Background from other international asset management companies is highly preferable.
  • Good people manager, and collaborator and team player.
  • Independent and strong self-initiative with Good communication and interpersonal skills.
  • Ability to work effectively different individuals at all levels within the organization.
  • Good analytical skills, ability to identify trends, process improvements and to manage change.
  • Ability to work under pressure and make key decisions with limited supervision.

Information provided is for recruitment purposes only.

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