Compliance Senior Manager

Key Job Responsibilities

• Report to the Chief Operations Officer
• Provide compliance support for business development and investment management
• Review product related marketing materials to ensure compliance with relevant rules and regulations
• Advise on the distribution of products, ensuring adherence to suitability obligations and Professional Investor restrictions
• Conduct regular compliance reviews and transaction monitoring to ensure adherence to regulatory and internal requirements
• Other ad hoc projects

Job Requirements

• University degree in Law, Accounting, Business, Finance is an advantage
• Minimum 5 years of relevant compliance experience with asset management companies/ regulatory bodies.
• Practical experience in dealing with SFC authorized funds (particulars in ETF) is an asset
• Good command of written and spoken English & Chinese (Cantonese/Mandarin)
• Strong knowledge of applicable rules and regulations include the UT Code
• A strong and passionate team player who can engage all work levels
• A quick and enthusiastic learner who can work independently and under pressure

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