The caliber mainly assists in the Compliance function of the Compliance Team, while working together among the team on other functions –
Responsibilities
On Compliance side -
1. Work closely with the Investment Team to provide daily support for their ongoing business requirements on investment guideline management controls, set up investment restrictions in Bloomberg/AIM for approving & reviewing.
2. Perform day-to-day investment guideline management activities in the compliance module in Bloomberg, determine and provide guidance in interpretation of rules for setting into the system.
3. Assist to review and monitor the company’s ongoing and new business in compliance with requirements of relevant regulatory bodies, and to ensure the company’s internal procedure and policies are in line with latest rules and ordinance.
4. Assist in dealing with corporate licensing related matters and deal with SFC on higher level issues.
5. Assist in conducting surveillance on the staff dealing and company’s trading activities to identify any potential insider trading and break of Chinese-Wall.
6. Assist in develop and implement compliance manual, procedures and monitoring programs to ensure they reflect current regulation, industry best-practice, and changes in business structure and activities.
7. Assist in providing AML advisory support to the Marketing Team.
8. Assist in raising and maintaining compliance awareness among staff by providing timely information, publications and relevant trainings.
9. Liaise with internal teams to discuss AML/KYC requirements and convey KYC approval status.
10. Review and approval of KYC documentation, information, research and Due Diligence for new and existing clients.
On Legal, Internal Audit and Operational Risk side -
1. Negotiate master agreement terms with various counterparts while at the same time act as the company's hub to liaise with external legal advisors.
2. Assist in conducting regular internal audit.
(Candidate with more Legal experience will be considered Compliance Manager)
Requirements
- Degree or above with major in Finance, Risk or Law Degree (focus on Commercial Law & Contract Law will be a plus)
- 4-8 years’ experience in a Compliance role, preferably gained from asset management industry.
- Fluent spoken and written English and Mandarin.
- Familiar with regulatory environment in regional financial industry.
Interested parties please send detailed resume with current and expected salary to the Human Resources Manager by e-mail (hr@clamc.com.hk). All applications will be treated in strict confidential and personal data collected will be used for recruitment purpose only.
