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Senior Manager, Investment Compliance

  • Global Asset Management Firm
  • Strong Corporate Culture
  • Attractive Base Salary + Bonuses

Our client is a global asset management firm with an established presence in Asia. Ithas adiverse range of investments includingtraditional funds,alternative funds, pension fundsoffering to institutional and retail customers. A fantastic opportunity has arisen for an experience Investment Compliance professional to join their Compliance team, based in Hong Kong.

The key responsibilities for this position are as follows:

  • Handling all investment/trade compliance for the regional trading desk including prep and post trade compliance monitoring to ensure compliance with regulations and investment guidelines.
  • Conduct investment compliance training to the business.
  • Perform routine compliance monitoring to ensure compliance with SFC FMCC and other similar requirements.
  • Enhance internal control policies and investigate and follow up on potential breaches of investment restrictions and trade surveillance.
  • Prepare regular compliance reports.
  • Liaise and coordinate with other locations on investment/trade compliance matters and follow through any issue to provide support as required.

Successful applicants will have the following skills and experience:

  • Degree qualified with at least 7 years of experience in compliance.
  • Background in investment compliance within an investment / asset management firm is essential.
  • Experience with Bloomberg or Charles River systems is an advantage.
  • Seasoned professional, good interpersonal skill and ability to work with senior management and investment professionals across the global is essential for this role.
  • Autonomous, self-starter while being a team player is important.
  • Excellent communication skills with fluency in Englishand Chinese / Mandarin is required.

Information provided is for recruitment purposes only.

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