Compliance Officer / Compliance Manager

Responsibilities

1. Conduct day-to-day investment guideline management activities within thepliance module of Bloomberg AIM, including independently coding rules and configuring all investment restrictions in the system. Perform daily pre- and post-trade monitoring, address intraday transaction alerts, and ensure timely resolution of anypliance-related issues.

2. Collaborate closely with the Investment Team and Trading Desk to provide robust support for their business requirements and daily transactions concerning investment guideline management controls. Ensure full adherence topliance standards across all investment management functions and promptly escalate any detectedpliance risks in accordance with internal policies and procedures.

3. Assist in reviewing and monitoring thepany’s existing and new businesses to ensure alignment with regulatory requirements set by relevant authorities. Work alongside the product team to facilitate the launch of new products, maintain up-to-date fund documentation, and coordinate with both internal and external counterparties on various projects.

4. Support the development and implementation ofpliance manuals, procedures, and monitoring programs to reflect current regulations, industry best practices, and changes in business structure and activities.

5. Serve as the primary liaison between thepany and its parentpany based in Shenzhen. Address inquiries from thepliance Department of the parentpany, prepare and submit regulatory reports as required by the parentpany, AMAC, CSRC, and other PRC regulators in a timely manner.

6. Review marketing materials,munication documents, and presentations to ensurepliance with regulatory requirements and efficiently handle regulatory approvals.

7. Assist with corporate licensing matters and maintain effectivemunication with the SFC.

8. Manage staff personal account dealings and conduct periodic reporting as mandated.

9. Execute due diligence processes for clients, distributors, brokers, and vendors. Provide anti-money laundering (AML) advisory support to front-line teams.

10. Negotiate master agreement terms with various counterparts while acting as thepany's central point of contact to liaise with external legal advisors.

Requirements :

1. A university graduate in Risk Management, Accountancy, Law or related disciplines with 4-5 years of relevant working experience. Candidates with extensive legal andpliance experience in licensed financial institutions will be considered for the positions of Seniorpliance Officer orpliance Manager.

2. Excellentmand of written and spoken English and Chinese (both Cantonese and Mandarin). Superior Chinese writing skills are highly preferred.

3. Proficiency in PC skills and MS Office applications, including Excel and MS Word. Experience with Bloomberg / Charles River / O32 systems would be advantageous but is not mandatory.

4. Strong logical thinking abilities withprehensive knowledge ofpliance, risk control, and regulatory requirements.

5. Exceptional analytical and problem-solving skills, coupled with a high level of attention to detail and the ability to work independently.

6. The ability to establish trusted relationships with senior management within the business and acrosspliance and other oversight and control teams, while demonstrating strong teamwork capabilities.

7. Familiarity with the regulatory environment in the financial industry, preferably in asset management.

8. A growth-oriented mindset with a demonstrated willingness to learn is essential.

Employee Benefits :

As apassionate and employee-focused organization, we provide our staff with an array ofprehensive wellness initiatives, a flexible work environment, and meaningful career development opportunities. Our employee benefits package includes the following :

• A 5-day work week
• Performance-based bonuses
• Annual leave andpany-designated holidays
• Group medical insurance coverage
• Mandatory Provident Fund (MPF) contributions
• Transportation and telephone allowances

合規主任 / 合規經理

工作職責：

任職要求：

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