You may also like

AML compliance, Transaction Monitoring, Officer/ AM

  • Find out more about the job
  • Find out more about the job

Business Compliance Manager (Credit Policy)

Bank of China
  • Accountancy
  • Compliance
  • +3 skills
  • +4 skills

Wealth Management Compliance Officer

  • Wealth Management

Financial Compliance Manager (Regulatory Reporting)

Bank of China
  • Accountancy
  • Financial Reporting
  • +3 skills
  • +4 skills

Senior Business Compliance Officer

Bank of China
  • Accountancy
  • Compliance
  • +4 skills
  • +5 skills

Investment Compliance - Investment Management Firm



Job Description

about the company

Our client is a leading Investment Management Firm with a strong global presence.
about the job
  • Monitor the compliance of investment restrictions
  • Code and review the investment restrictions in the investment compliance monitoring system and test the effectiveness of the newly set-up or revised rules
  • Investigate the actual and potential investment breaches and trading errors and follow up with the relevant parties on the rectification
  • Coordinate brokers approval requests from Traders and Portfolio Managers
  • Perform trade surveillance activities
  • Provide Compliance advice on investment management activities, trading activities and investment products upon the requests and enquiries from internal and external stakeholders
skills & experiences required
  • Bachelor's degree in financ or accounting
  • At least 3 years of relevant experience in investment compliance or fund operations
  • Good understanding of the asset management industry and its regulatory environment in Hong Kong
  • Detail oriented, high integrity and excellent work ethics
  • Strong communication skills in both English and Cantonese
To apply online, please click on the link below. Alternatively, for a confidential discussion please contact Rouella Landicho on + 852 2232 3479.

Employment TypeFull-time
Education LevelNone
LanguageEnglish, Cantonese
RandstadHuman Resources and Recruitment

50 Connaught Road Central, 5th Floor, Agricultural Bank of China Tower

directions_walk8 mins walk from Central Station