Compliance Associate

Duties & Responsibilities Review Investment Management Agreement / Prospectus to ensure relevant investment restrictions are coded on Bloomberg AIM system and adjusted for on-going changes in the investment guidelines; Conduct pre-trade and post-trade compliance monitoring , coordinate and communicate compliance requirements relating to fund activities and identified breaches with external and internal stakeholders; Prepare Licensing applications, requisite filings, notifications and regulatory surveys including but not limited to SFC-authorized funds ; Conduct KYC & AML review and review marketing materials; Perform compliance monitoring tasks, report findings to business units and provide recommendations; Keep abreast of regulatory updates and assist in revising and implementing relevant policies and procedural manual; and Any other ad-hoc tasks.

Education

University degree in Legal, Economics, Finance, Accounting or related disciplines; Experience Requirements Minimum of 3 years of relevant compliance experience in asset management (public and private funds, managed accounts); More experience will be considered as Senior Associate Knowledge in SFO and SFC codes and guidelines (particularly relating to Type 1, 4, 9 regulated activities) is required; Knowledge of Bloomberg AIM (trading rule coding) is a must, MS Office applications and Chinese word processing; Proficient in spoken and written English and Mandarin.

Self-motivated, analytical and attention to details; and Able to work efficiently under pressure and in a team environment.