Key Responsibilities
- Handle SFC applications, regulatory reports/ filings and other licensing matters
- Conduct reviews on SFC-authorised funds sales and marketing materials
- Handle investment compliance and trade surveillance to SFC-authorised funds, private funds and other mandates
- Perform coordination of service agreements with relevant stakeholders
- Conduct AML/ KYC review and due diligence checks on clients, service providers and relevant partners
- Maintenance of compliance policy and procedures
- Conduct regular compliance training for the business
Requirements
- Degree holder in Business, Law, Risk Management or other related discipline(s)
- Around 3-6 years of Compliance experience in asset management
- Familiarity in Bloomberg AIMS is highly preferred
- ETF compliance is highly preferred
- Proactive team player, self-motivated and well spoken
- Good command of written and spoken English
