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Assist the Compliance Officer to provide compliance advice to the firm (and group companies if required) in areas such as SFC, HKEX, MAS, SEC, CFTC, NFA, CSRC and AMAC licensing, registration, KYC/AML, trading regulations, filing and reporting, firm/individual-level regulatory compliance, etc.
Handle surveillance of front office (investment, trading and marketing) activities to enforce compliance and anti-money laundering policies.
Research legal and regulatory developments in relevant jurisdictions (including HK, CN, US, SG, JPN) and promptly report internally of implications for optimization of the company and the group set-up.
Conduct compliance review and maintain appropriate records for personal account dealing, CPT records, gift/entertainment and other compliance requests.
Prepare and draft regulatory applications, ongoing filings/notifications, other relevant reports, manuals, policies/procedures, and correspondence across various Asian countries.
Maintain and update internal compliance policies, procedures and guidelines.
Assist with the liaison with cross-functional colleagues, external advisors and counterparties.
Coordinate ad-hoc compliance tasks and projects as requested.
Minimal 1-2 years of relevant working experience.
A Master's or Bachelor's degree within related area including Business Administration, Accounting, Law and etc. Commerce Law and Business Law related courses should be taken during study.
Exposure to and knowledge of SFC, MAS, SEC, and other jurisdictions including EU, JPN regulations/regulators is preferred.
Demonstrated history of adhering to the highest ethical and professional standards.
Self-motivated with strong organizational, communication and interpersonal skills.
Outstanding attention to detail and organization skills with accuracy.
Ability to multitask and excel independently in a dynamic environment under pressure
Fluency in English and Mandarin (spoken and written). Cantonese and other Asian language capability is advantageous.
Internal Number: 6740345
About Pinpoint Asset Management Ltd
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