Posted on 2022-05-19

Compliance Senior Manager / Manager

China Asset Management (Hong Kong) Limited

Job Responsibilities:

  • 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
  • Details-oriented
  • 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.)  

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More job information
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan
Job Function
  • Central
Employment Term
  • Permanent
  • Full-time
  • 3 years
Career Level
  • Middle management level
  • Degree