Investment Compliance
CSOP Asset Management Limited
Hong Kong, Hong Kong

Responsibilities :

  • Manage Compliance communications with regulators.
  • Manage Investment Compliance for the Firm using Bloomberg AIM, EzeSoft OMS, and Wind AMS.
  • Perform compliance reviews and risk assessments to identify and address gaps.
  • Provide regulatory updates and compliance advice on business initiatives.
  • Liaise with regulators on handling SFC Type 1, 4 and 9 licensing, inquiries, and ongoing reporting requirements.
  • Requirements :

  • A relevant degree in law / accounting / finance.
  • Minimum 3-5 years of compliance experience in Financial Institutions (Ideally an Investment Compliance role at an Asset Manager).
  • Strong understanding of the buy-side market and fund compliance, with strong regulatory knowledge (SFC, MAS).
  • Extensive experience in Bloomberg AIM, EzeSoft OMS, Wind AMS (or equivalent).
  • Good spoken and written ability in English and Mandarin.
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