Our client is an investment management company with operation worldwide. For this Senior/ Compliance officer, he/ she is expected to ensure the company and its Asian funds operate in compliance with all applicable regulatory requirements and providing training/ coaching to junior staff (CEN-SC)

• Prepare quarterly report for the Head of Legal and monthly internal control/ compliance monitoring programs
• Maintain both corporate and funds licenses registrations
• Assist to review FRR return
• Perform and review quarterly monitoring review on proper allocation, transaction turnover and competitive commission charged by brokers
• Review and monitor investment restrictions for funds and institutional clients on a monthly basis
• Review basis of valuation relating to illiquid and unquoted securities held by funds and institution clients as prepared by the Fund Administration Department
• Review account opening and closing procedures relating to private clients and intermediaries to ensure laid down procedures and regulatory policies
• Record, review and report client complaints
• Coordinate with overseas offices in the account opening process for non-managed clients and intermediaries
• Occasionally review changes to marketing materials, fund fact sheets of HK authorized funds and process approval with the SFC prior to publication
• Submit to the SFC quarterly and annual financial reports relating to the HK authorized funds
• Assist in the registration of new investment products with regulatory authorities in the Asia Pacific region
• Ensuring that regulatory training requirements are met for all staff

• Degree holder with 5 to 7 years of working experience, of which 3 years in compliance and the rest in either audit or regulatory fields
• Fluent in both spoken and written English and Chinese
• Excellent communication and interpersonal skills
• Multi task, able to work under pressure and with high integrity
• Proficient in PC operations

**Candidate with less experience will be considered as Compliance Officer**

Salary: $30k-$35K