Responsibilities
- Manage third-party events that are requested by discretionary investment professionals and provided by authorized brokers in compliance with Compliance standards by overseeing, screening, and chaperoning them.
- Review and/or prepare documents, licensing applications, regulatory filings and notifications, reports, manuals, policies and procedures, correspondence, and records.
- Evaluate potential scenarios in which material, non-public information may be received and respond properly.
- Aid in the development, execution, and administration of the firm's personal trading programs and the Hong Kong compliance framework.
- Keep track of relevant regulatory changes in Hong Kong and the surrounding area, evaluate their effects on business operations, and help with procedure amendment and change communication.
- Offer prompt and proactive guidance on pertinent regulatory and company policy needs.
- Assist with ad hoc legal and compliance activities and projects, take part in frequent business trips to the area.
Requirements
- Eight or more years of compliance experience in a regulatory, control room, research compliance, or asset management setting;
- University graduate (in law, finance, accounting, or another business-related area);
- Compliance Analyst candidates will be given consideration if they have less experience.
- Self-starter with good multitasking, analytical, problem-solving, organizational, and communications (written and verbal) abilities;
- Knowledge of the operation of the securities business;
- Knowledge of mainland China and Hong Kong securities laws.
For a confidential discussion, kindly contact Ms. Nguyen Thi Lan at email lan.nguyen@employmentvietnam.com
