Our client is an established asset management house renowned for its diversified investment management services and products to high net worth individuals, financial intermediaries and institutional clients.  With ambitious plans to expand their client base across the Asia Pacific region, they are now seeking for top calibre candidates to join their compliance team in Hong Kong.

Reporting to the Head of Compliance, you will assist in the provision of compliance Monitoring & Advisory services in the Asia Region (mainly Hong Kong and Singapore).  In particular you will perform daily trade surveillance, carry out necessary investigations and monitor business functions to ensure compliance with relevant regulations and policies.  You will also monitor investment restrictions of managed funds and mandates, review marketing materials, and be the point of contact to liaise with SFC on fund launch and registration matters.   You will also conduct adhoc projects and periodic review of internal control systems, identify any weakness/risks and make recommendations to improve operational efficiency.

To be considered, you will be a degree hold in Finance/Accounting/Law or related disciplines.  You must have a minimum of 2 years of relevant experience in the financial services industry, preferably fund house.  Candidates with audit experience with main focus on FI or Investment companies and candidates from the trading operations background will also be considered.  Sound knowledge of local compliance and regulatory framework is required.  You must be able to demonstrate work integrity and strong analytical and interpersonal skills.  Fluency in English and Cantonese is a must.

Interested applicants should send a detailed resume to Simone Wong by email to swong@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC1392.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)