Zeal Asset Management Limited ("Zeal") is a value oriented asset management firm established in 2009. Zeal strives to be the premier asset management company in Asia and the Greater China region, helping investors from around the world achieves attractive and long-term risk-adjusted returns by being...

Zeal Asset Management Limited ("Zeal") is a value oriented asset management firm established in 2009. Zeal strives to be the premier asset management company in Asia and the Greater China region, helping investors from around the world achieves attractive and long-term risk-adjusted returns by being well-positioned to benefit from the enormous potential in this fast-growing region. 

Compliance, Senior Officer

Job level Middle
Work exp 2 Years To 3 Years
Education Bachelor Degree
Location Hong Kong, Admiralty
Employment type Full Time
Benefits 5-day week, Discretionary bonus, MPF, Maternity leave, Medical plan
Industry Financial Services
Job function Accounting > Compliance
Legal / Professional Services > Company Secretary
Banking / Finance > Legal / Compliance
Published On 22/11/2016

Job description:

  • Conduct regular compliance monitoring checking and review
  • Review marketing materials and handle enquiries from business team
  • Handle staff dealing matters, update staff dealing records and review related reports
  • Handle licensing related matters, regulatory filing and reporting for the company
  • Record and monitor continuous professional training of staff
  • Provide advice and guidelines, including briefing sessions, to staff on compliance issues relating to the regulated activities
  • Perform company secretarial duties
  • Assist in researching and updating guidelines, rules and regulations and implement applicable policies and procedures
  • Assist in other tasks assigned and ad-hoc projects

Requirements:

  • Bachelor Degree with major in Accounting, Finance or related discipline
  • Minimum 2 to 3 years relevant working experience in handling compliance matters, experience with fund house is preferred
  • Familiar with SFC codes and guidelines, Securities and Futures Ordinance and other relevant regulatory requirements
  • Good analytical and communication skills and able to work independently
  • Details oriented and self-motivated

Please email your resume together with a cover letter and your expected salary to hr@zealasset.com.  Please also quote the applied position on the email subject.