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PeopleSearch is a leading Singaporean based Executive Search firm that specializes in placing mid to senior level executives across various industries and functions. Our teams are organized by specializations, which provides our consultants the competitive advantage of understanding the practical and functional requirements of each mandate which translates into effective scouting and assessment of high-performance talents for our clients. We are now in 6 key Asian cities – Singapore, Taipei, Kuala Lumpur, Tokyo, Hong Kong and Shanghai.

 

If you are looking for a rewarding career that will bring you to new levels of success, then consider becoming a PeopleSearch Consultant.

PeopleSearch is a leading Singaporean based Executive Search firm that specializes in placing mid to senior level executives across various industries and functions. Our teams are organized by specializations, which provides our consultants the competitive advantage of understanding the practical and...

PeopleSearch is a leading Singaporean based Executive Search firm that specializes in placing mid to senior level executives across various industries and functions. Our teams are organized by specializations, which provides our consultants the competitive advantage of understanding the practical and functional requirements of each mandate which translates into effective scouting and assessment of high-performance talents for our clients. We are now in 6 key Asian cities – Singapore, Taipei, Kuala Lumpur, Tokyo, Hong Kong and Shanghai.

 

If you are looking for a rewarding career that will bring you to new levels of success, then consider becoming a PeopleSearch Consultant.

Investment Compliance Manager

Job level Senior
Work exp Minimum 5 Years
Education Bachelor Degree
Location
Within Hong Kong Hong Kong
Employment type
Industry Banking
Job function Legal / Professional Services > Legal & Compliance
Published On 26/03/2018 2018-03-26
ref. PSH/FIG/HKB279

Our client is seeking a high calibre candidate for an Investment Compliance.  The company provides comprehensive asset management solutions for institutional investors, investment funds and individuals in key markets around the work.

 

Responsibilities:

  • Keeps abreast of regulatory development with respect to portfolios managed by IO-HK, and assesses impact on operations
  • Performs preliminary research of regulatory updates for both local and overseas jurisdictions
  • Determines and sets up compliance rules in the Bloomberg Trading and Portfolio Management System
  • Supports SFC licensing and continuous professional training monitoring process
  • Performs review of adherence to investment compliance policies and procedures in accordance with established guidelines
  • Performs ongoing investment compliance monitoring for funds managed by IO-HK
  • Prepares regulatory and internal / external compliance reports and performs required follow up work
  • Keeps team leader abreast of compliance-related issues
  • Supports review of personal investing activities and record keeping
  • Assist in broker counterparty review process and record keeping
  • Supports business contingency arrangements by maintaining contact lists and records and coordinating regular checks for the compliance team
  • Maintains breach logs and supporting records
  • Assists with compliance related projects as assigned
  • Makes recommendations for improvement of compliance policies and policies
  • Acts as a point of contact/ liaison for other global compliance functions with respect to the region (9 Asia countries including Taiwan, China, Japan, Singapore, Malaysia, Indonesia, Philippines, Vietnam and Thailand)
  • Coordinates and socialize global initiatives top-down to each local office, but at the same time, the specific local requirements can be harmonized and reflected in global policies
  • Prepares regulatory and corporate/ regional compliance reports and performs required follow up enquiries

 

 

Qualifications

  • University graduate with major in Accounting and / or Finance
  • Knowledge of investment industry and financial markets
  • Min. 5 years’ work experience in Compliance / Audit / Legal discipline
  • Ability to interpret compliance requirements
  • Attentive to detail
  • Proficient in using Microsoft Office (Excel, Word, Access, PowerPoint etc.)
  • Sense of Risk and Control
  • Ability to demonstrate a high degree of initiative and a strong sense of meeting deadlines
  • Strong English written and verbal communication skills
  • Knowledge of Bloomberg Compliance Module (CMGR) and Bloomberg Trading System is preferable

 

Interested Applicants please send your resume (in Word format) together with present and expected salary to  sammychan@pplesearch.com

 

** For more job opportunities, please visit our website: **www.pplesearch.com