Junior Compliance Specialist in a leading Fund Platform [20-25k][20240524A]
Company Overview:
- Leading asset management company/platform in Hong Kong.
- Manages Asia-focused hedge fund strategies.
- Offers robust asset management platform solutions for emerging managers.
- Operates in key financial markets worldwide.
Job Description:
- Execute buy-side compliance monitoring tasks.
- Approve personal dealings and review fund newsletters.
- Prepare regulatory reporting and document CPT (Continuous Professional Training).
- Assess sanctions compliance and monitor investment breaches.
- Handle SFC (Securities and Futures Commission) licensing tasks, such as filling out questionnaires, applying for licenses, and submitting necessary notifications and returns.
- Facilitate the fund onboarding process by reviewing fund documentation, initiating account setups, and conducting AML (Anti-Money Laundering) screenings along with KYC (Know Your Customer) verifications.
- Review and manage commercial contracts.
- Liaise with both external and internal parties, including fund counterparties and clients, to communicate compliance stipulations associated with fund transactions.
- Stay updated on regulatory changes and ensure timely revision and application of pertinent policies and procedural manuals to align with the latest regulatory demands.
- Support senior compliance officers with miscellaneous ad hoc responsibilities, such as conducting research and performing gap analyses to evaluate potential enhancements to the compliance management system.
Requirements:
- Bachelor’s degree holder, preferably in law, finance, or a related discipline.
- Minimum of one year of professional experience in the compliance sector.
- Familiarity with SFC codes and guidelines, especially for private funds.
- Knowledge of Cayman Islands mutual funds beneficial.
- Strong research and communication skills.
- Proficiency in English and Chinese, both oral and written.
- A self-starter with an analytical mindset and meticulous attention to detail.
- Able to maintain efficiency under pressure and collaborate effectively within a team setting.
Role Type:
- Employment Type: Full-time
- Salary: HKD 20,000 – 25,000 per month
- Position required by: 2nd July or earlier
- Benefits: On-the-job training, career growth opportunities, exposure to international markets
Application Process:
- Interested candidates, please send your CV via WhatsApp to 93472064, attention Mr. Ko.
- Quote JOBID: 20240524A.