Hong Kong Job Openings
GaoTeng Global Asset Management Limited
Compliance Associate (Fresh graduate will also be considered)
FULL TIME
October 23, 2024
- For Type 1 regulated activity, the licensee shall only carry on the business of dealing in collective investment schemes. The terms “collective investment scheme” and “dealing” are as defined under the Securities and Futures Ordinance.
- 就第1類受規管活動而言,持牌人只可經營集體投資計畫交易的業務。“集體投資計畫”及“交易”指《證券及期貨條例》所界定的涵義。
No. of Vacancies: 1
Main Responsibilities:
Assist the Head of Legal and Compliance and Senior Compliance Manager in discharging the responsibilities of compliance in general.
Handle daily investment guidelines monitoring of portfolio / trading activities, and rules set-up and testing in Bloomberg AIMS.
Handle application and related change of SFC license.
Perform AML/KYC review and due diligence checks on clients / service providers / online platforms.
Conduct compliance review and/or testing for compliance monitoring purpose of policies and procedures.
Assist in review of marketing materials and provide compliance related advice on new products and services.
Assist in internal, external and regulatory audits.
Assist in compliance ad hoc projects, regulatory and other official enquiries.
Main Requirements:
Bachelor's Degree with major in Law, Accounting, Finance or related discipline.
Preferably with at least 1 year of relevant working experience in audit / compliance with asset management industry.
Self-motivated, attention to details, willing to learn and proactive character.
Good interpersonal communication skills and able to deal with people of wide spectrum of seniority.
Proficiency in both Chinese and English. Fluency in spoken Mandarin is an advantage.
Fresh graduate is also welcome.
All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.
Full-time
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