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Investment Compliance - Asset Management

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Job Summary

  • Admiralty
  • Permanent
  • 1,882,440
  • Jan 22, 2024
  • Competitive
Job Description

A leading asset manager is looking for an investment compliance professional to join the team and support on investment compliance monitoring and coding on investment rules


  • Assist on setting up public and private funds and review fund documents from a compliance perspective
  • Code investment rules on Bloomberg for public funds
  • Conduct pre-trade and post-trade review
  • Help monitor and review investment mandates
  • Offer advice to portfolio managers and traders on investment compliance matters
  • Review marketing materials
  • Assist in ad-hoc compliance tasks


  • Bachelor degree of a relevant discipline
  • 3-6 years of relevant experience in asset management compliance or with a regulatory body
  • Sound knowledge of SFC authorised funds, Fund Manager Code of Conduct, Code on Unit Trusts and Mutual Funds
  • Committed and self-motivated with the ability to work well with various business units and internal teammates
  • Fluency on verbal and written English and Cantonese


Consultant Details

Consultant Details

Samantha Ng
Samantha Ng