Senior Compliance Manager | Mutual Funds / ETFs

Morgan Half International (Hong Kong) Limited; Hong Kong Island; On-site; HKD 800,000 - 1,200,000; Full time

Job summary

China Re Asset Management (Hong Kong) Company Limited in Hong Kong is seeking a Senior Compliance Manager for mutual funds and ETFs to join a small compliance team. The role is hands-on with investment compliance responsibilities.

You will conduct pre-trade and post-trade reviews using Bloomberg AIM, code rules in Bloomberg AIM, maintain investment compliance policies, and provide compliance guidance to investment teams while handling general compliance tasks.

Qualifications

• Bachelor’s degree or above; Master’s preferred.
• 3–8 years of solid investment compliance experience with hands-on Bloomberg AIM.
• Familiar with Fund Manager Code of Conduct, UT Code, MPF regulations, etc.
• Strong understanding of asset management business and regulatory landscape.
• Proficient in English and Chinese (including Mandarin).

Responsibilities

• Hands-on investment compliance in a team of 6.
• Conduct pre-trade and post-trade reviews in Bloomberg AIM.
• Code rules in Bloomberg AIM.
• Maintain investment compliance policies.
• Provide investment compliance guidance to investment teams.
• Undertake general compliance tasks as needed.

Skills

Bloomberg AIM

Pre-trade review

Post-trade review

Regulatory knowledge

Policy knowledge

English/Chinese

Education

Bachelor’s degree or above

Master’s degree preferred

Tools

Bloomberg AIM

Job description

Senior Compliance Manager | Mutual Funds / ETFs

A hands-on investment compliance role in a Compliance team of 6

Conduct pre-trade and post-trade review in Bloomberg AIM

Coding rules in Bloomberg AIM

Keeping investment compliance policies

Provide investment compliance advices to investment teams

The candidate will need to conduct some general compliance tasks

Requirements

• Bachelor's degree or above in a reputable university, Master degree is preferable;
• 3-8 years of solid experience in investment compliance. Hands-on experience in Bloomberg AIM.
• Experience in a well established asset management firm is preferable;
• Familiar with the relevant regulatory requirements including the Fund Manager Code of Conduct, UT Code, MPF regulations, etc;
• Strong understanding of asset management business;
• Good knowledge of SFC authorized funds, UCITs, Cayman SPC, etc;
• Proficient in English and Chinese (including Mandarin)

Sheung Wan, Central and Western District, HK

China Re Asset Management (Hong Kong) Company Limited

Central, Central and Western District, HK