Compliance Director (Deputy Director)
ICBC Credit Suisse Asset Management (International) Co., Ltd
Hong Kong, Hong Kong
5天前

Responsibilities :

  • Provide technical and regulatory expertise on compliance issues and Familiar with the Regulatory requirements for Type 4 and Type 9, and ensure compliance with all mandatory reporting and communications
  • Work on ad-hoc compliance, new project and legal-related projects
  • Monitor firm's compliance, AML control, and CDD system with internal policies, applicable banking laws, regulations, and guidelines
  • Deliver daily regulatory advice and management on rules and internal policies as well as its latest updates; ensure the business units comply with the law, rules, and regulations
  • Trade surveillance and Disclosure of Interests monitoring and reporting
  • Familiar with a hedge fund, Caymen Island, Luxembourg's legal and compliance requirements, including local anti-money laundering and sales compliance requirements;
  • Familiar with the requirements of Hong Kong public funds, SPC, UICITS products, etc., with experience in setting up related products is preferred
  • Portfolio Compliance monitoring using Bloomberg, including coding of investment restrictions, pre-trade and post-trade monitoring
  • Requirements

  • Minimum 8 years of experience in the compliance or regulatory professional, experience in asset management investment compliance function will be an advantage;
  • Knowledge in Bloomberg AIM;
  • High level of integrity and clarity in communication and action;
  • Bachelor's Degree in Finance / Commerce / Law or related discipline; law degree holder is highly preferred.
  • Fluent in both written and spoken Chinese and English;
  • Good team player and good communication skills, willing to work under pressure.
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