Compliance-Leading Investment Manager
The responsible compliance person
A well-performed WFOE
Our client is a world leading investment management company and strong in doing quatitiave, and provide with a very good working environment.
- Drafting standard documents, formulating and updating compliance policies and procedures.
- Maintaining contract databases; handle the document management system for proper record keeping purposes.
- Monitoring the firm's practice in the Greater China region to ensure all functions are compliant with relevant rules and regulations at all times.
- Reviewing fund contracts and agreements with service providers.
- Liaising with external service providers such as compliance firms.
- Responding to investor queries.
- Providing verbal and written compliance advice to various departments of the WFOE across a wide range of matters.
- Conducting compliance review of client on-boarding assessments.
- Assisting with the coordination of regulatory audits or reviews.
- Producing management information and responding to inquiries from senior management and company headquarter's legal and compliance team.
- Bachelor degree in law, economics or finance related discipline, master degree is preferred.
- At least 4 years' compliance experience;
- Proven delivery of clear, succinct compliance advice.
- Attention to detail, organised and possess strong language skills (both Chinese and English).
- Financial services, commodity trading and asset management experience.
- Knowledge of general compliance concepts and processes; experience with the Hong Kong (SFC) regulatory regimes a plus.
- The responsible compliance person
- A well-performed WFOE