Investment Compliance Specialists, Global Asset Manager (Multiple Headcounts- HK$50K to HK$70K)

  • HK$50k - HK$70K per month
  • Hong Kong
  • CDI, Plein-temps
  • Aquis Search , Numéro de Licence EA : 16S8125
  • 08 sept. 17 2017-09-08

A Global Asset Manager is looking for candidates with extensive investment compliance exposure to be part of the investment compliance team in Hong Kong.

Responsibilities of the Role:

  • Responsible for investment restriction interpretation, coding, approval, monitoring, uplifting activities as well as monitor non codeable restrictions. The role will have specific focus on regulatory and investment compliance related tasks.
  • Work in a local Investment Restrictions team to provide services include investment guideline control management
  • Have extensive knowledge on local regulations 
  • Work closely with stakeholders from affected business lines and functions within Asset Management Group
  • Support team head to ensure quality and consistency of Investment Guideline controls especially with regards to coding and testing of rules.
  • Perform restrictions coding set up approval and daily restriction monitoring and alert uplifting.
  • Support to provide solutions for post deal checking of non codeable restrictions and maintain the list for regular reviews.


Requirements of the Role:

  • Demonstrates courageous integrity and ability to challenge existing and new practices.
  • International experience or experience of dealing with international resources.
  • Good communication skills in both verbal and written.  Business fluency in English, other language skills will be a plus
  • University graduate with solid years of industry experience.
  • Charles River IMS or Bloomberg AIM required.
  • Good knowledge of Investment Restrictions processes with decent years of experience required.
  • Good knowledge of respective local and international regulatory requirements.  This includes SFC and MPF Rules, UCITS and AIFMD.
  • Track record of guidelines negotiation and practical rule translation, coding and testing.