COMPLIANCE (ASSET MANAGEMENT) - SENIOR MANAGER / ASST VICE PRESIDENT

• Well known Asset Management
• Investment Compliane Experience

Our client is a well known asset management firm, they are now seeking for a high calibre candidate to join them.

Perform investment compliance monitoring activities including reviewing compliance exceptions and developing a proficient understanding of the investment compliance system. Assist investment personnel with questions, issues and requests related to investment and operational restrictions applicable at the portfolio and / or Company level. Facilitate monitoring of the level of securities holding by the Company to ensure any substantial shareholding disclosures and filings are arranged on a timely basis. Administer the Company's personal account dealing policy including pre-approval of PA dealings and the related post event surveillance. Assist in providing compliance related training

To be considered, you will be a Degree holder with around 3 to 7 years of relevant compliance, audit or control experience. Knowledge of regulatory guidelines and requirements would be an advantage together with strong communication skills in English and Mandarin.

Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC2926.

(Applicants not contacted within 4 weeks should consider their application unsuccessful.)