Investment Compliance Officer コンプライアンス
¥10M - 15M / annum
9 March 2018
Banking and financial services
Duties & Responsibilities
- Ensure that various funds trading at the firms trading desk in Hong Kong are in compliance with applicable regulations and investment guidelines.
- Advise investment professionals in Japan on day to day compliance matters.
- Provide training sessions to investment professionals on investment guidelines / restrictions for specific funds.
- Investigate and provide resolution to breaches and investment processes.
- Process shareholding limit increase requests across the region.
- Research and respond to requests and queries from internal as well as external sources.
- Develop and implement compliance procedures to enhance monitoring and operational effectiveness.
- Research regulatory developments and assesses investment compliance implications.
- Degree-level educated, with a keen interest in financial markets
- Qualified lawyer, accountant or financial analyst (CA, CFA or equivalent qualification preferred)
- At least 4 years of practical experience within financial services or asset management industry (preferably in compliance, audit, investigations or market surveillance)
- Good working knowledge of equity and fixed income markets with a genuine interest in the investments process