INVESTMENT COMPLIANCE
Our client is an international asset management house. They focus on providing clients with global investment solutions that meet the demands and challenges of sophisticated and complex investment and economic circumstances. With steady growth, they are now looking for an outstanding professional to join their team.
Responsible for advising and handling investment compliance related matters for investment products offered in Asia. Responsible for managing the time of trade fund monitoring function to compliant with applicable regulations, investment guidelines and restrictions as well as country-registration requirements. Ensure that various funds trading are in compliance with applicable regulations, investment guidelines and internal restrictions at the time of trade. Providing compliance guidance and advice in relation to the investment products offered in Asia. Advise investment professionals on day to day regulatory and compliance related matters. Provide training sessions on investment guidelines and restrictions. Investigate, analyse and provide resolution to breaches and investment processes. Responsible for timely and accurate processing of shareholding limit increase requests across the region. Independently researches and responds to requests and queries from internal as well as external sources. Develop and implement compliance procedures to enhance monitoring and operational effectiveness. Produce metrics for senior management information. Research into regulatory developments and assesses investment compliance implications. Participate and contribute positively in business initiatives.
To qualify, you will be a degree holder with a minimum of 7 years practical experience within financial industry, preferably in compliance, audit, investigations or market surveillance. Strong analytical skills, problem-solving ability and attention to detail. Excellent communications skills in English and Chinese.
Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2174.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)
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