AVP/VP, Compliance

Cinda International Holdings Limited; Hong Kong; On-site; HKD 550,000 - 900,000; Full time

Job summary

Cinda International Holdings Limited seeks a compliance professional to act as the main liaison between the fund management company and the SFC for ongoing compliance and regulatory submissions. The role requires ensuring UT Code and SFO compliance across funds, private funds and brokerage units, and coordinating post-authorization changes.

The candidate should have 3–5 years of compliance experience in asset management or securities, with Bloomberg AIM experience and fluency in Cantonese,

Qualifications

• University degree in accounting or business related field.
• 3–5 years of compliance experience in asset management and securities.
• Experience in risk management is a plus.
• Bloomberg AIM system experience.
• Fluent in Cantonese, Mandarin and English with strong writing skills.
• Strong communication, detail orientation and ability to work independently.
• Immediate availability preferred.

Responsibilities

• Serve as main liaison between fund management company and the SFC for ongoing compliance and regulatory matters.
• Ensure funds meet UT Code and SFO requirements; oversee private funds, discretionary accounts and brokerage units.
• Coordinate post-authorization changes, document updates, annual reports and material breach notifications.
• Maintain bilingual fund information website in line with SFC requirements.
• Identify control risks and design tests to evaluate internal controls especially in asset management and brokerage.

Skills

Communication skills

Bilingual drafting

Detail-oriented

Independent worker

Education

University graduate in Accounting or Business related fields

Tools

Bloomberg AIM

Job description

Serve as the main point of contact between fund's management company and the SFC for ongoing compliance, inquiries, regulatory submissions and SFC inspection visits
作为基金管理公司与证监会之间的主要联络人，负责日常合规事宜、查询、监管文件提交及证监会例行检查

Ensure the funds continuously adhere to the Code on Unit Trusts and Mutual Funds (UT Code) and relevant statutory requirements under the SFO. Apart from authorized funds, ensure private funds and discretionary accounts and brokerage business units comply with the relevant rules and regulations of the SFC
确保基金持续遵守《单位信托及互惠基金守则》（UT Code）以及《证券及期货条例》（SFO）下的相关法定要求。除获认可基金外，确保私募基金、全权委托账户和经纪业务部门遵守证监会的相关规则和条例

Coordinate the timely submission of post-authorization changes, offering document updates, annual reports, and material breach notifications
协调及时提交授权后变更、销售文件更新、年度报告及重大违规通知

Update the bilingual website for the publication of fund information and daily net asset values, ensuring continuous updating and monitoring in accordance with SFC requirements
更新双语版网站，用于发布基金资讯、每日资产净值、持续更新和监测，符合证监会要求

Identify key control areas and respective risks of existing operations and designing appropriate compliance tests to test the effectiveness and efficiency of internal control systems and procedures especially related to asset management and brokerage businesses
识别现有营运的关键控制领域及其相应风险，并设计适当的合规性测试，以检验内部控制系统和程序的有效性和效率，特别是在资产管理和经纪业务方面

Handle ad hoc assignments
处理临时性任务

University graduate, major in Accounting or Business related fields
大学本科毕业，主修会计或商业相关专业

AT LEAST 3-5 YEARS of compliance experience in the asset management and securities industries, including experience handling SFC-authorized funds
至少3-5年资产管理及证券行业合规经验，其中须具备证监会认可基金相关工作经验

Experience in risk management will be an advantage
具备风险管理经验者优先

Hands-on experience in administering Bloomberg AIM
具备彭博 AIM 系统管理经验

Fluent in Cantonese, Mandarin and English, with strong bilingual drafting skills
须精通粤语、普通话及英语，具备良好的中英文写作能力

Strong communication skills, detail-oriented and able to work independently
沟通能力强，注重细节，能够独立开展工作

Immediate availability is preferred
能尽快到岗者优先

Visit www.cinda.com.hk to learn more about us.
欢迎浏览 www.cinda.com.hk 了解更多公司信息。