Compliance Officer/Compliance Manager

Responsibilities:

1. Conduct day-to-day investment guideline management activities within the compliance module of Bloomberg AIM, including independently coding rules and configuring all investment restrictions in the system. Perform daily pre- and post-trade monitoring, address intraday transaction alerts, and ensure timely resolution of any compliance-related issues. 

2. Collaborate closely with the Investment Team and Trading Desk to provide robust support for their business requirements and daily transactions concerning investment guideline management controls. Ensure full adherence to compliance standards across all investment management functions and promptly escalate any detected compliance risks in accordance with internal policies and procedures. 

3. Assist in reviewing and monitoring the Company’s existing and new businesses to ensure alignment with regulatory requirements set by relevant authorities. Work alongside the product team to facilitate the launch of new products, maintain up-to-date fund documentation, and coordinate with both internal and external counterparties on various projects. 

4. Support the development and implementation of compliance manuals, procedures, and monitoring programs to reflect current regulations, industry best practices, and changes in business structure and activities. 

5. Serve as the primary liaison between the Company and its parent company based in Shenzhen. Address inquiries from the Compliance Department of the parent company, prepare and submit regulatory reports as required by the parent company, AMAC, CSRC, and other PRC regulators in a timely manner. 

6. Review marketing materials, communication documents, and presentations to ensure compliance with regulatory requirements and efficiently handle regulatory approvals. 

7. Assist with corporate licensing matters and maintain effective communication with the SFC. 

8. Manage staff personal account dealings and conduct periodic reporting as mandated. 

9. Execute due diligence processes for clients, distributors, brokers, and vendors. Provide anti-money laundering (AML) advisory support to front-line teams. 

10. Negotiate master agreement terms with various counterparts while acting as the company's central point of contact to liaise with external legal advisors. 

Requirements:

1. A university graduate in Risk Management, Accountancy, Law or related disciplines with 2-3 years of relevant working experience.

2. Excellent command of written and spoken English and Chinese (both Cantonese and Mandarin). Superior Chinese writing skills are highly preferred.

3. Proficiency in PC skills and MS Office applications, including Excel and MS Word.

Experience with Bloomberg/Charles River/O32 systems would be advantageous but is not mandatory.

4. Strong logical thinking abilities with comprehensive knowledge of compliance, risk control, and regulatory requirements.

5. Exceptional analytical and problem-solving skills, coupled with a high level of attention to detail and the ability to work independently.

6. The ability to establish trusted relationships with senior management within the business and across Compliance and other oversight and control teams, while demonstrating strong teamwork capabilities.

7. Familiarity with the regulatory environment in the financial industry, preferably in asset management.

8. A growth-oriented mindset with a demonstrated willingness to learn is essential.     

Employee Benefits:

As a caring company, we offer comprehensive wellness programs, flexible working environment and career development opportunities to employees. Our employee benefits include:

·         5-day Work

·         Performance Bonus

·         Annual Leave and Company Holidays

·         Group Medical Insurance

·         MPF

·         Transportation allowance, Telephone allowance

Please send your resume with full details of experience and qualifications, current and expected salary and available day to the Head of Administration & Human Resources, Da Cheng International Asset Management Co. Ltd., Suites 3516-3519, Jardine House 1 Connaught Place, Central, Hong Kong or mail to: recruit@dcfund.com.hk

Personal data provided by job applicants will be used strictly in accordance with the employer's personal data policies and for recruitment purposes only.