Handle SFC applications, regulatory and general compliance issues such as employees' personal dealings, as well as other regulatory reporting and filings involving SFC-authorized funds.
Review and coordinate the execution of service agreements with respective counterparties for SFC-authorized funds, private funds, and discretionary mandates.
Examine and revise compliance policies and processes.
Conduct AML/KYC checks and due diligence on clients/service providers/online platforms.
Assist with internal/external liaison, as well as HK and other regulators, on various regulatory and general compliance problems.
Requirements
University graduate (in finance, accounting, law, or a related field of business)
3 - 5 years of working experience in fund house
Understand SFC-authorized funds, collective investment schemes, and financial derivatives with underlying investments in stocks, fixed income, and financial derivatives.
Compliance experience with SFC Type 1 4 and 9
Strong written and spoken English and Chinese skills
Applicants with less experience will be considered as well