Job ref no.: CT3119080-01#6789

Legal and Compliance Analyst / Assistant Legal and Compliance Manager

ICBC Credit Suisse Asset Management (International) Company Limited

  • 5-day week
  • 13-month pay
  • Discretionary bonus
  • Medical plan


-          Portfolio Compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post trade monitoring

-          Trade surveillance and Disclosure of Interests monitoring and reporting

-          Monitoring and conducting annual testing of SEC Registered Investment Adviser duties

-          Provide technical and regulatory expertise on compliance issues and ensure compliance with all mandatory reporting and communications

-          Work on ad-hoc compliance, new project and legal related projects



-         Minimum 1-3 years of experience in the compliance or regulatory profession.  Experience in asset management investment compliance function will be an asset;

-        Knowledge in Bloomberg AIM, Charles River or equivalent;

-         Good work ethic;

-         Bachelor’s degree in finance/ business administration related disciplines;

-         Knowledge in the US compliance is advantageous;

-         Fluent in both written and spoken Chinese and English; and

-         Good team player and good communication skills

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More job information
Job ref no. CT3119080-01#6789
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 1 year - 8 years
Career Level
  • Non-management level
  • Degree