Job Responsibilitiesies:
- To prepare and retrieve information and documents in response to regulatory enquiries from regulators
- Coordinating with other teams and providing support in dealing with regulators
- Daily monitoring of funds and accounts pre and post trading using Bloomberg CMGR to ensure that their investment policies, guidelines and restrictions are followed
- Identify research and escalate potential compliance violations ane oversight cases directly
- Recommend alternatives for resolution and follow up with portfolio managers, traders and others where appropriate
- Supporting the SFC application process, and working with other departments to ensure timely and quality submission of regulatory required periodic reports, and supporting the management team
- Responsible for educating employees regarding regulatory requirements Assisting with the maintenance of policies and procedures
- Prepare, review and analyse various routine and ad hoc reports.
Job Requirements:
- 3+ years of relevant compliance experience in financial institutions
- Excellent knowledge of SFC regulations
- Previous experience using Bloomberg CMGR is nessesary
- Fluent in English and Chinese (Including Putonghua)