COMPLIANCE ADVISOR / INVESTMENT COMPLIANCE

• Global Asset Management firm
• Excellent Exposure

Our client is a global investment management company with an unparalleled reputation across the Asia Pacific region. With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join them.

Support the operations of the compliance program, performs daily monitoring of trade activities for specific equity and fixed income funds and accounts to ensure that their investment policy limitations are followed. Communicate with portfolio managers and traders on applicable fund/ account guidelines and trading policies. Implement effective mechanisms to provide timely reporting and monitoring of complex investment strategies. Provide department management with information on current trends, issues recognised during assignments and recommends plans for improvement. Support the Material Non Public Information Policy and Procedures, including establishing and removing information barriers. Support the SFC application process and ensure timely and quality submission of regulatory required periodic reports. Assist with the maintenance of policies and procedures and Compliance Manual.

To be qualified, you must be a university graduate with a minimum of 4 years of investment compliance experience. You should have strong analytical and problem-solving abilities and attention to detail together with excellent communication skills in English and Chinese.

Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2847.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)