Gao Teng Global Asset Management Limited (‘Gao Teng’) is an asset management company strategically invested by Hillhouse Capital Group and Tencent Holdings Limited. It has a top-tier asset management team with abundant investment experiences domestically and overseas. Gao Teng is ranked No.1 as the “Top Investment House in Asian G3 Bonds” (Hong Kong, Asset Managers) for both 2020 and 2021 by The Asset. In 2020, it is awarded by Asia Asset Management as “Asian Rising Star” and selected as “Asian Supernova of the Year” by Insights & Mandate. Headquartered in Hong Kong, the Company is currently licensed by Securities and Futures Commission for Type 1 (Dealing in Securities), Type 4 (advising on securities) and Type 9 (asset management) regulated activities*, registered at China Securities Regulatory Commission as Qualified Foreign Institutional Investor (QFII/RQFII) and qualified by Asset Management Association of China as a registered Hong Kong stock investment advisory institution. The Company’s subsidiary, Gao Teng Overseas Private Fund Management (Hainan) Ltd., has been registered amongst the first batch of Hainan Qualified Domestic Limited Partner (QDLP) Overseas Investment Pilot Enterprises by Hainan Local Financial Supervision Administration Bureau. Combining the superior investment ability of Hillhouse and pioneering internet technology of Tencent, we are committed to delivering top-notch asset management products and services with superior user experience to domestic and global investors.

• 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.

高騰國際資產管理有限公司(“高騰國際”)是高瓴資本和騰訊戰略投資的資產管理公司,擁有一流的團隊,具備豐富的海內外投資管理經驗。高騰國際於2020及2021年蟬聯The Asset 評選的 “亞洲G3債券最佳投資機構”第一名(香港,資產管理組別),並於2020年獲亞洲資產管理頒評之“亞洲區最佳明日之星”及獲投資洞見與委託評選為“年度亞洲新星”。公司總部位於香港,已獲得香港證監會頒發的第1類(證券交易),第4類(就證券提供意見)和第9類(提供資產管理)牌照*,並獲中國證監會批准的合格境外投資者(QFII/RQFII)資格,以及由中國證券投資基金業協會頒發的港股投資顧問機構備案資質。公司控股的高騰海外私募基金管理(海南)有限公司是海南省合格境內有限合夥人(QDLP)首批試點企業。高騰國際借助高瓴資本優越的投資能力和騰訊領先的互聯網技術優勢,致力於為全球投資者提供優質便捷的投資產品與服務。

• 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。

https://www.gaotengasset.com

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.

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Full-time