Responsibilities will include:

• Responsible for MPFA/ SFC licensing matters, including license application/ withdrawal, annual returns, notifications and CPT etc. 

• Responsible for the Code of Conduct Administration, including personal trading monitoring, gift and entertainment, external directorship and employment.

• Review marketing materials and obtain approval from regulator, if needed.

• Conduct compliance monitoring reviews and testing

• Conduct regulatory research and ad-hoc investigations

• Maintain the record keeping system for the Compliance team and ensure all necessary records and reports are properly kept

• Conduct Compliance training sessions

• Prepare compliance policies and procedures

• Perform any other ad-hoc tasks assigned by the Head of Compliance

Required Skills/Experience:

• Minimum of 3-year experience in audit /compliance profession, preferably in asset management industry

• Previous working experience in regulator or in audit/ legal/  financial industry will be an advantage

• Knowledge of the Hong Kong regulatory environment

• An ability to read Chinese