Investment Compliance Manager

Job Title: Investment Compliance Manager
Contract Type: Contract
Location: Hong Kong
Reference: AF/ICM/600
Contact Name: Aily Foo
Contact Email:
Job Published: April 12, 2019 06:59

Job Description

  • Exposure to the private banking
  • Chance to working to senior management directly
  • Rapid career progression

Our client, a Swiss private bank is looking for an Investment Compliance and Control Support to join their bank for a 2 years contract. The role will work with the Senior Executives Officers directly and to ensure compliance of discretionary mandate offerings with applicable laws and regulations.

Key Responsibilities

  • Report to the Type 9 Executive Officers of the discretionary mandates business in the bank
  • Responsible for all investment compliance and control aspects of discretionary mandates in the bank, which include ensuring the control framework of Asian discretionary mandates in line with the mandates’ stated investment objectives, risk profiles, external regulatory requirements and internal policy of the Bank, as performed internally and/or externally
  • Work closely with the Portfolio Managers, Implementation, Compliance and Risk Management Teams to identify and resolve breach or issues, if any
  • Carry out business risk analyses, gap analyses and other business related analyses to enhance efficiency and effectiveness of the internal control systems
  • Implement the highest standard of investment compliance and risk control as required by the Bank and local regulatory requirements.

Key Requirements

  • Degree holder in Economics, Finance or Business
  • Over 5 years related investment compliance experiences in asset management companies/ private banks
  • Excellent communication and interpersonal skills and able to communicate with investment professionals and senior stakeholders
  • Good knowledge of investment and financial products, both traditional and non-traditional products, used in discretionary mandates
  • Good understanding of legal, compliance and risk management framework, in particular to have good understanding of HK asset management regulatory framework
  • Experience in handling the regulators’ enquires is a MUST

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