- Report to the Head of Compliance
- Perform pre/post-trade investment monitoring based on guidelines. Candidate with MPF investment guidelines and bond investment guidelines is preferred. Perform periodical review on investment guidelines. Perform coding of investment restrictions in Bloomberg AIM CMGR. Perform trading desk monitoring to ensure regulatory and internal requirements are being compiled. Conduct investment surveillance in accordance with internal policies and procedures
- Conduct AML/KYC assessment, assist in daily AML monitoring and perform annual KYC review of the clients and name screening of employee onboard
- Review internal/external communication & marketing materials, including product advertisements, RFPs, DDQs; Support bank/securities account opening from compliance perspective
- Prepare regulatory reports and filings. Assist internal and regulatory audits and investigations, support filing to regulatory authorities in respect of all compliance related matters in China, Hong Kong, Singapore, Korea, US etc; responsible for due diligence process review of the company or service providers
- Conduct compliance monitoring and testing to ensure business operations compliance. Consolidate results and compile reports
- Monitor ongoing regulatory changes to businesses and establish and implement policy change
- Other compliance related work such as monitor the CPT of the licensees; licensing, gift and Entertainment process; prepare training materials to supervisor; ad-hoc administrative work of the department
- University degree in Finance, Accounting or Law degree preferred
- At least 4 years of compliance related experiences in asset management firm
- Knowledgeable of asset management regulations and operational procedures
- Familiar with Bloomberg AIM CMGR
- Good command of written and spoken English and Chinese
- Strong analytical skills with multi-tasking ability
- A strong team player and able to engage people in all levels
- A quick and enthusiastic learner who can work independently
- Willing to work on public holiday and evening till 11pm on need basis
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Senior Compliance Officer - Hong Kong, 香港 - Taikang Asset Management (Hong Kong) Co. Ltd.
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描述
Taikang Asset Management (Hong Kong) Co. Ltd., (hereafter as "Taikang Asset (HK) or "the Company"), is a wholly-owned subsidiary of Taikang Asset Management Co., Ltd. (hereafter as "Taikang AMC") was incorporated in Hong Kong in 2007, now holding SFC licenses Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) regulated activities, and with QFII and RQFII qualifications.
Founded in 2006 Taikang AMC is owned by the Taikang Insurance Group which was founded in 1996. Taikang Insurance Group is listed in Fortune 500 and is currently one of the China's largest insurance and financial services institutions based in Beijing, operating in three main business sectors: insurance, asset management, and health and elderly care.
Being the bridgehead in global strategic implementation and overseas investment centre for Taikang AMC, Taikang Asset (HK) inherits its parent company's investment philosophy "Research Drives Forward Investment, Professionalism Creates Values". We are committed to creating a "progressive and rule-based" talent culture that pursues excellence and respects professionalism. Not only we are an Equal Opportunity Employer, upholding openness, fairness and equality in talent selection and utilization, we have also created a learning culture that values openness and expertise to improving employees' professional skills.
Our corporate culture also emphasizes compliance, risk awareness, integrity, execution and performance.
Our care for employees' growth is reflected in all activities. The Company has also created career progression channels and developed a mature promotion policy that enables employees to fulfill themselves and continuously advance their career with our business growth.
To continue business and performance expansion, we are inviting high caliber to "Grow with Us & Build Your Career with Us". Our employee's retirement benefits have been recognized in the "Good MPF Employer Award 5 Years+" and "MPF Support Award" categories by the MPFA in five consecutive years since 2019. Welcoming diversity gives us competitive advantages in the marketplace and drives us to continued success. We offer competitive benefits and development opportunities in one's career journey with us. If this is your ideal marketplace delay no more and submit your job application to begin your choice of employer and career at Taikang Asset (HK).
Job Responsibilities
Job Requirements
Candidate with less experience will be considered as Compliance Officer
Interested parties please send your application letter and full resume with available date, current and expected salary to
(All collected personal information will only be used for recruitment purposes.)
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