Compliance Officer/Manager for Asset Management

Compliance Officer/Manager for Asset Management Firm

Job Summary:

A global PE firm is hiring a compliance manager base in Hong Kong, or Singapore (2 posts), to join its global team of compliance professionals, that supports global investment and trading activities by establishing and enforcing the Firms compliance policies, providing advice, and conducting trade surveillance. Excellent career path, long term career, attractive package, generous fringe benefit including competitive retiring plan will be offered.

Job Descriptions:

• Conduct oversight, vetting, and chaperoning of third-party events requested by discretionary investment professionals offered by approved brokers in accordance with Point72 Compliance procedures
• Assess and appropriately address possible situations of receipt of material, non-public information
• Review and/or draft documentation, license applications, regulatory filings/notifications, reports, manuals, policies/procedures, correspondence, and records
• Assist with the development, implementation and administration of the compliance framework including the Firms Code of Ethics and personal trading programs
• Track pertinent regulatory changes in Hong Kong and the region, assess impact on business operations, and assist with amendment of procedures and communication of changes
• Provide proactive and timely advice on relevant regulatory and firm policy requirements
• Participate in frequent business trips in the region
• Deliver periodic compliance training to staff
• Assist with ad-hoc legal and compliance tasks and projects, including technology enhancements

Job Requirements:

• University graduate (in law, finance, accountancy, or other business-related discipline)
• At least eight years of compliance experience, in a regulatory, control room, or research compliance or asset management environment; Candidate with less experience will be considered as Compliance Analyst
• Knowledge of how the securities industry operates and Hong Kong and mainland China securities laws
• Self-starter with strong multitasking, analytical, problem-solving, organizational, and communications skills (written and verbal)
• Aptitude for accuracy, detail-oriented, and hands-on approach
• Ability to work independently as well as collaborate within a team
• Fluent in English and Mandarin (additional Japanese language skills are a plus)
• Commitment to learn and handle a wide variety of work
• Willingness to travel in the region regularly
• Commitment to the highest ethical standards