Compliance Manager - Multi-strategy Investment House (BB-525BD)
Found in: Neuvoo Premium HK
- Provide firm/ individual level compliance support for SFC Type 1, 4 & 9 multi-strategy licensed firm
- Maintain restricted lists and monitor wall-crossing
- Handle PA dealing, expert network calls, outside activities, and other requests
- Liaise with vendors regarding system upkeep and maintain compliance records
- Perform investor and investment KYC/AML and other onboarding DD (e.g., PI)
- Handle license applications and notifications, responding to inquiries and survey requests; trade/position level filings (e.g., 13F/H, short selling)
- Coordinate compliance training
- Maintain, test, and improve internal policies and procedures.
- Coordinate and liaise with other teams in cross-departmental projects (e.g., BCP, EDSP, FATCA/CRS, vendor DD).
- Monitor and research regulatory developments, assess the impact and implement changes.
- Solid compliance experience in an SFC Type 9 licensed or compliance advisory firm.
- Knowledge of listing rules in Hong Kong
- Ability to multitask and excel in a fast-paced environment under pressure.
- Team player, but also able to perform autonomously with minimum supervision.
- Intellectual curiosity, fast learner, driven to achieve, “can-do” attitude.
- Strong communication skills.
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