Responsibilities:Handle SFC licensing matters including individual licence applications and corporate licensing issues as well as maintain registration/licence with regulatory bodies in mainland China and overseasCarry out routine compliance duties such as CPT, staff dealing, gifts and entertainment register, periodic declarations, etc. to ensure compliance with relevant regulatory requirements under the Code of Conduct, Fund Manager Code of Conduct, SFO, etc.Liaise with external compliance consultant on compliance routine work and new regulatory requirementsDraft periodic (monthly/quarterly/semi-annually/annually) compliance and risk reports in Chinese for the purpose of group reportingReview marketing materials and address due diligence requests from counterparties such as distributorsPrepare company secretary and corporate governance documentation with assistance of external service providerBe involved in day-to-day product compliance and legal work (such as update of offering documents, regulatory reporting, etc.) in respect of different types of funds including SFC- authorised fundsAssist in setting up investment compliance controls in Bloomberg AIM CMGR and daily monitoringAssist in KYC/CDD/AML review and monitoringMonitor regulatory changes and developments in relation to businesses and products in respect of the relevant jurisdictions (including HK, mainland China and EU, etc.), assess impact and advise the Head of ComplianceProvide support on ad-hoc projects as requestedRequirements:Degree in Law, Finance or Accounting or related disciplinesMinimum 3 - 5 years of compliance experience in financial institutions and/or regulatory bodies with at least 1 - 2 years specialised in asset management businessStrong knowledge of SFC regulations, AML legislation and other relevant regulatory requirementsKnowledge in Bloomberg AIM and AML screening database is an advantageHands-on experience in dealing with regulatory bodies and compliance issues and experience in developing compliance framework and policies is an advantageHigh ethics and integrity, attention to details, ability to work independently with minimal supervisionExcellent written and spoken English and Chinese, fluency in Mandarin is a mustGood business acumen with strong-learning and problem-solving skill and good interpersonal and communication skillsData collected would be used for recruitment purpose only.
