Responsibilities: Provide advice and review on new business initiatives and development plans from a regulatory, best practice and Group standard perspective; Follow and keep track on any regulatory reforms / requirements and implement the respective control procedures with the related departments; Implement procedures and provide on-going monitoring on investment and trading activities; Assist to conduct KYC / AML review for investors and/or existing clients and handle any related compliance matters; Assist to review any marketing materials to ensure they are in compliance with relevant rules and regulations; Prepare regulatory reports for submission to regulators, Group Compliance and Risk Management etc; Perform investment guideline management which includes interpretation of investment guidelines and rules, implementation of investment restrictions and monitoring of daily trading activities to ensure investment decision is in compliance with investment policies and restrictions; Investigate any breaches of investment restrictions and work with Investment, Operations and Risk Management etc. to resolve any issues; Handle ad-hoc compliance / risk related tasks as assigned from time to time; Assist in liaising with regulatory authorities if needed. Requirements: Bachelor Degree or above in Law, Finance, Accounting and other relevant qualifications; Minimum 3 years of relevant experience with a regulatory authority, financial institution or professional firm; Familiar with SFC regulations and other relevant regulatory requirements Responsive, detail-oriented, structured, self-motivated. Good communication skills. Able to work effective with internal departments. Buy side compliance knowledge/experience is preferred.
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