Job Responsibilities
- Conduct day-to-day compliance tasks, including monitoring/surveillance, SFC and SEC filings, review and collection of brokerage statements
- Handling SFC licensing application, licensing matters and requirements
- Conduct pre and post trade monitoring
- Enhance compliance surveillance and testing programs to mitigate risks and control deficiencies;
- Support marketing team on fund distribution and marketing activities
- Advise on investment compliance function
- Design and implement compliance policies and programs to enhance internal control environment of the company;
- Participate in ad hoc compliance projects
Job Requirements
- University graduate or equivalent degree preferred, ideally in business, accounting or law
- Minimum 5 years of compliance experience in asset managers or hedge fund
- Fluency in Mandarin Chinese and English
- Excellent organisational and analytic skills