Investment Compliance

CSOP Asset Management Limited

Hong Kong, Hong Kong

1天前

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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