Job description
Key Job Responsibilities
Report to the Chief Operations Officer Provide compliance support for product development and management (including SFC-authorized funds and unauthorized products) Review product related marketing materials to ensure compliance with relevant rules and regulations Advise on the distribution of products, ensuring adherence to suitability obligations and Professional Investor restrictions Conduct regular compliance reviews and transaction monitoring to ensure adherence to regulatory and internal requirements Other ad hoc projects Job Requirements University degree in Law, Accounting, Business, Finance is an advantage Minimum 5 years of relevant compliance experience with asset management companies/ regulatory bodies.
Practical experience in dealing with SFC authorized funds (particulars in ETF) is an asset Good command of written and spoken English & Chinese (Cantonese/Mandarin) Strong knowledge of applicable rules and regulations include the UT Code A strong and passionate team player who can engage all work levels A quick and enthusiastic learner who can work independently and under pressure (All personal data collected will be used for recruitment purpose only.)