CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Our client is a reputable and expanding Investment Management company with diverse investment platform in managing Alternative Investments, Equity and Fixed Income Funds. With an expanding international and regional presence, an exciting opportunity has arisen for a high-calibre Investment Compliance professional to join the regional function, based in Hong Kong.
Reporting to the Regional Head of Compliance, you will be an experienced member of the Regional Compliance function, focusing on Investment Compliance activities. Ensuring compliance with regulatory and company requirement, you will monitor trading desk and investigate on potential violations, perform investment restrictions monitoring and investigations. You will review and prepare regulatory filings, Disclosure of Interest filing, ensure compliance on licensing and registration with the relevant regulatory bodies as well as monitoring employee compliance of the Code of Ethics. In addition, you will review sales and marketing collaterals in line with local country regulatory requirements and group internal practices. Other broader responsibilities will include compliance risk assessment and business reviews, compliance policies and manual updates, conducting compliance training for staff.
To qualify, individuals must possess:
University degree with accounting and / or legal qualifications would be ideal
Minimum 6+ years experience gained in Compliance or Legal functions from Asset Management, Investment / Wealth Management and / or Investment Banking
Familiarity to funds, investment products and the relevant regulations
Regional experience would be preferred
Knowledge of Investment Management Systems (e.g. Charles River or other similar types)
Excellent communications in English, Chinese language would be advantageous
Contact Amy Ho (852) 3101 3066 or click APPLY NOW button quoting reference number AH 45734. www.ambition.com.hk
Data provided is for recruitment purposes only. *LI-BF