Job Responsibilities:

• Ensure that Asset Management business operates in compliance with Code of Conduct and SFO;
• Play a key role in providing compliance input when setting up new investment products;
• Support investment team in maintaining an effective compliance and control system;
• Handle day-to-day compliance tasks related Asset Management;
• Perform pre-trade and post-trade compliance monitoring and investigation;
• Involve in other compliance and business related projects/ initiatives with potential compliance/ regulatory impacts;
• Provide compliance advice and support to the other Asset Management businesses and liaise with other compliance teams;
• Review new product proposal and assist in the product documentation and registration process;
• Perform periodic monitoring/ surveillance according to relevant regulations and internal policies.

Job Requirements:

• Bachelor’s degree holder in relevant disciplines with good understanding in Asset Management space;
• At least 5 years' relevant experience in financial institutions;
• Good knowledge of the financial markets and investment products;
• Strong knowledge of SFC rules applicable to Asset Management business with a strong ability to interpret regulations and assess operational compliance standard;
• Excellent command of spoken and written Chinese and English.