- Assist in reviewing new product proposals, policies and procedures to draw attention to compliance concerns
- Provide advice to different departments on compliance and regulatory related matters to help them to meet regulatory requirements
- Perform pre-trade and post-trade compliance check and monitor investment trading by using Bloomberg CMGR
- Monitor personal account dealings, set up restricted list and watch list, maintain rules in Bloomberg CMGR
- Monitor best execution conducted by traders
- Disseminate Circular and Guidelines from regulators and ensure compliance with the regulatory requirement
- Conduct ad-hoc investigation on non-compliance matters and monitor remedial action to ensure violation of internal and external rules are properly addressed and prevent recurrence of such incidents
- Handle other compliance matters or assist projects as assigned from time to time
- University graduate, preferably with finance, accounting or law degree
- 3 – 5 years relevant experience in financial institution, preferably asset management company
- Good interpersonal communication skills
- Good team player while being able to work independently
- Good command of both written and spoken English and Chinese (including Putonghua)
Interested parties please email your resume, expected salary to us with Job Ref. No.: CSM2205.
(All information provided will be kept in strict confidence and for the recruitment purpose only.)
All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.