Manager, Investment Compliance

Our client is amongst the leading investment groups based in Hong Kong with a wide range of large-scale investment portfolios and upcoming projects across the region. With their team expanding readily, they are looking for a Manager, Investment Compliance.

Responsibilities:

• To develop, test and implement pre-trade and post trade compliance rules in Bloomberg and Portia system as per the investment mandate of the portfolio and regulatory requirements
• To participate in User Acceptance Testing (UAT) on system automation/enhancements
• To review and carry out due diligence check on counterparts and handle KYC / AML enquiries
• Coordinate in investment products launch and registration with relevant regulators
• Review and update internal policies and procedures in accordance with regulatory and internal requirements
• Review marketing materials of investment products prior to distribution to clients

Requirements:

• 4 years+ of experience in financial services environment (preferably in asset management compliance)
• Strong analytical and problem-solving abilities and attention to detail
• Strong oral and written communication and presentation skills
• A team player with good interpersonal skills, assertiveness, and ability to work independently
• Strong Microsoft Office knowledge, including Excel and Microsoft Access