Senior Manager/VP, Compliance

Senior Manager/VP, Compliance

Agensi Pekerjaan Spring Professional (Malaysia) Sdn Bhd
5-10 years
Not Specified

Job Description

Our client has a strong presence in asset management market with international footprint. Their trading volume has grown rapidly, and eager to expand further. With the changing needs of the markets and commitment towards sustainable development & growth in the regions, they are currently looking for an experienced investment compliance talent to join the organization. The role is based in Hong Kong.
Main Duties and Responsibilities

You will be responsible for trade monitoring in the firm. You will also handle ad hoc projects as assigned by top management. Communicate with internal and external stakeholders and senior management.
Responsibilities

Review investment guidelines, setup and test guidelines parameters, perform compliance checks
Respond to requests regarding investment and operational restrictions applicable at the portfolio and/or company level
Liaise with Sales, Product, Operation and Investment team to perform compliance reporting
Perform investment compliance monitoring activities including reviewing compliance exceptions (Pre and Post Trade)
Monitor and analyze regulatory trends that would potentially impact the investment management functions
Participate in ad hoc projects as assigned
Candidate profile

5-10 years of work experience in financial institutes (asset management firm). Solid investment compliance experience. Capable to work independently. As one of the main Compliance representatives of the company, you must possess excellent presentation and communication skills and be fluent in Chinese and English. Possess a strategic mindset, excellent risk awareness, global vision and being ethical. Able to read, write and speak in Chinese (Cantonese and Mandarin) and English.
What to Expect

Our client offers the benefits of a work environment that is stimulating, challenging and balanced. You will be working in an Exciting and Fast-Paced Environment for an Established Organization; and being a part of an Employee & Customer Centric Business that provides a large degree of autonomy to their management team and encourages creativity and development of new ideas.
Interest and Apply

Advance your career to the next level with this fantastic opportunity in Hong Kong. To further consult on this role, please reach out to Adrienne Lui via [Confidential Information]
Please note that only short-listed candidates will be notified. All information gathered will be treated in strict confidence and solely used for recruitment purposes.

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