Compliance Manager (6 months contract)

1201 Invesco Advisors Inc.; Hong Kong; Hybrid; HKD 850,000 - 1,100,000; Full time

Benefits offered by this job

Generous annual leave

Hybrid work schedule

Learning and development programs

Health & wellbeing benefits

Parental Leave

Employee stock purchase plan

Job summary

Invesco, a leading global investment firm, is seeking a Compliance professional for the Hong Kong office. The role focuses on regulatory matters and providing guidance on regulatory requirements, with broader regional responsibilities as assigned by senior stakeholders in Compliance.

You will liaise with regulators, handle regulatory filings, and maintain up-to-date compliance manuals while supporting cross-border regulatory responsibilities and ad hoc compliance projects.

Qualifications

• Degree in Accounting/Finance/Law or related disciplines.
• 3–5 years of relevant experience in the financial services industry, preferably with asset management companies or regulatory authorities.

Responsibilities

• Liaising with regulators and handling regulatory filings for compliance-related matters.
• Responding to surveys and questionnaires issued by the SFC.
• Keeping Compliance procedure manuals up-to-date to reflect local regulations and group policies.
• Undertaking regular compliance monitoring; preparing compliance reports for clients; filing fund reports with overseas regulators.
• Providing support on other compliance-related matters for Hong Kong or Singapore offices.
• Providing support for other ad hoc activities.

Skills

Regulatory knowledge

Regulatory filings

Securities & Futures Commission

Communication (English)

Education

Accounting/Finance/Law degree

Job description

About Invesco As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.

Our people are at the very core of our success. Invesco employees get more out of life through our comprehensive compensation and benefit offerings including:

• Generous annual leave plus flexible paid time off
• Hybrid work schedule
• Learning and development programs
• Health & wellbeing benefits
• Parental Leave benefits
• Employee stock purchase plan (if applicable in your region)

Job Description To be responsible for regulatory matters in Hong Kong and to provide compliance support and advice to the business on regulatory requirements, principles and other compliance-related matters concerning Hong Kong office, as well as other jurisdictions in the region as assigned by senior stakeholders of in the Compliance team.

PRIMARY DUTIES AND RESPONSIBILITIES

• Liaising with regulators and handling regulatory filings for compliance-related matters
• Handling and responding to surveys and questionnaires issued by Securities and Futures Commission
• Keeping Compliance procedure manuals up-to-date to reflect applicable local regulations requirements and group policies
• Undertaking regular compliance monitoring; preparing compliance reports for clients; and filing fund reports with overseas regulators
• Providing support on other compliance related matters of Hong Kong or Singapore office
• Providing support for other ad hoc activities

POSITION QUALIFICATIONS

• Degree in Accounting/Finance/Law or related disciplines
• A minimum of 3-5 years of relevant experience in the financial services industry, preferably gained through practical experience with asset management companies and/or regulatory authorities

KEY COMPETENCIES AND PERSONAL ATTRIBUTES

• Strong knowledge of regulations and guidelines in Hong Kong
• Good understanding of the applicable regulatory requirements surrounding offers of investments as well as the cross-border sales and institutional marketing activities applicable regulatory requirements relating to investment offerings, cross-border sales and institutional marketing activities in Hong Kong
• General product specific product-specific knowledge, including but not limited to unit trusts, UCITS and ETFs
• Proficiency in oral and written communication in English
• High integrity and excellent work ethics
• Detail oriented
• A self-starter with the ability to work independently and in a group setting collaboratively
• Ability to multi-task and prioritise
• Ability and willingness to adapt to the evolving business needs of the company and develop new skills and knowledge

• Full Time / Part Time
• Full time Worker Type
• Fixed Term Employee (Fixed Term)
• Job Exempt (Yes / No)
• No

Workplace Model

At Invesco, our workplace model supports our culture and meets the needs of our clients while providing flexibility our employees value. As a full-time employee, compliance with the workplace policy means working with your direct manager to create a schedule where you will work in your designated office at least four days a week, with one day working outside an Invesco office.

Invesco's culture of inclusivity and its commitment to diversity in the workplace are demonstrated through our people practices. We are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, creed, color, religion, sex, gender, gender identity, sexual orientation, marital status, national origin, citizenship status, disability, age, or veteran status. Our equal opportunity employment efforts comply with all applicable local laws governing non-discrimination in employment.

Personal data provided by job applicants will be used strictly in accordance with our personal data policy and for recruitment purposes only. Candidates not notified within twelve weeks may consider their application unsuccessful. All related information will be kept in our file for future recruitment purposes. When there are vacancies in our subsidiary or associate companies, we may transfer the application to them for consideration of employment. Under the Personal Data (Privacy) Ordinance, job applicants have a right to request access to, and to request correction of, Personal Data in relation to the application. If job applicants wish to exercise these rights, they should contact the Human Resources department.

As one of the world’s leading independent global investment firms, Invesco is dedicated to rethinking possibilities for our clients. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, intelligent colleagues, and exposure across a global footprint, come explore your potential at Invesco.