Job ref no.: CT3131012-01#0020
Southwest Securities (HK) Asset Management Limited

Risk & Compliance Manager, Asset Management

Southwest Securities (HK) Asset Management Limited


  • Develop, update and review risk management policies and guidelines
  • Prepare the risk & attribution reports for funds & mandates regularly
  • Responsible for the construction and operation of risk control mechanism such as risk preference, quota management and authorization management of the department
  • Promote the development and construction of the risk management information system to monitor risk control indicators
  • Perform trade and transaction monitoring / investigation, including trade monitoring and surveillance
  • Establish proper controls, policies and procedures to ensure compliance with legal and regulatory requirements, revise policies and procedures and provide input to ensure compliance with applicable legal and regulatory requirement
  • Complete ad-hoc tasks as required by senior management


  • Degree holder or above in Finance, Risk Management or related discipline, preferably with qualification in CPA and/or CFA
  • Minimum of 5 years of relevant work experience in the field of asset management or securities industry
  • Sound knowledge in the financial market and investment risk management
  • Excellent quantitative, analytical and computer skills
  • Good understanding and knowledge of operational risk and internal control principles and ability to assess risk trends
  • Preferably with solid operational risk management experience in Asset Management business environment
  • Good communication skills and able to work under pressure
  • Proficient in computer skills (e.g. SQL, VBA) and experience in using Bloomberg and FactSet.
  • Excellent command in both spoken and written in Mandarin and English

Attractive package will be offered to the right candidate. Interested parties please send both Chinese & English resume with current & expected salary and deal list to the Human Resources Department at 40/F., Lee Garden One, 33 Hysan Avenue, Causeway Bay, Hong Kong or email.

Data collected will be used for recruitment purpose only. 

More job information
Job ref no. CT3131012-01#0020
Job Function
  • Causeway Bay
Employment Term
  • Permanent
  • Full-time
  • 5 years - 10 years
Career Level
  • Non-management level
  • Degree
  • Master's degree
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan