Key Responsibilities

- Provide support in compliance matters of the investment advisor / manager and its funds / portfolios

- Consult and liaise with external counsels and advisors as needed

- Keep the firm updated with their license (Type 4 and Type 9 RA) requirements

- Answer enquiries from and establish good relationship with regulators

- Monitor daily liquid capital position and compile semi-annual FRR to SFC to report portfolio holdings

- Analyze and monitor the operational risks of the company, e.g. trade limits, failed trades

Required skill and experience:

- University graduate with 1-2 years working experience in compliance, preferably in the financial services environment such as asset management and securities firms; Fresh graduates with a law degree will also be considered

- Familiar with the Securities and Futures Ordinance, regulations and all relevant rules and guidelines in relation to the fund management industry

- Strong analytical skills, problem solving ability and attention to details

- Proficiency in both spoken and written English and Chinese

- Self-motivated and ability to work independently