Asset Management House – Compliance – Trade Surveillance recruitment
This candidate will be responsible for performing and overseeing daily monitoring of all trade activity for specific equity, fixed income and high income funds and accounts to ensure that their investment policy limitations are followed.
Major Responsibilities:
Managing the inside information (PSI) Policy and Procedures, including establishing and removing information barriers.
Preparing and overseeing the preparation of periodic reports required by the Hong Kong Securities and Futures Commission (SFC) and other Hong Kong regulatory bodies.
Keeping abreast of regulatory developments and managing relationships with local regulators regarding compliance matters.
Maintaining policies and procedures and the FMR (Hong Kong) Compliance Manual.
Requirements:
Demonstrated leadership and mentoring skills
Strong organisational skills with proven ability to multi-task and manage high volumes
Strong analytical and problem-solving abilities and attention to detail
Proven ability to establish and maintain strong relationships with demanding clients and senior personnel
Strong understanding of compliance policies and procedures
2-3 years of relevant Compliance experience preferred
This is an opportunity to work with a Global Market leader, facing off to the clients on regulatory, prospectus, Board and internal policies to portfolio managers and traders.
