Primarily responsible for compliance testing, risk inventory maintenance, and risk assessment
Information control in general, including persona data, transactional data, and other proprietary information such as trade secrets
Insider information control in close corporation with HK Control Room
Updating Japan IBD deal pipelines
Review research and sales memos, and solicitation materials such as pitch books
Advise Client Onboarding team on KYC requirements
Help other members with daily tasks such as regulatory filings and monitoring
Requirements
Bachelor's degree or above in Law, Finance, Business, or Economics
Minimum 3 years of relevant experience in Legal or Compliance
Knowledge in operations, finance, or IT would be advantage
At least 3 years of working experience in securities or asset management
Strong problem-solving and multi-tasking skills
Willing to take new challenges; proactive, ready to get involved, or initiate any risk control project deemed necessary such as those related to operational risks, information control, monitoring, to conduct control
Product knowledge in certain areas, including derivatives, M&A, private and/or public offerings, or commodities, and funds, is advantage
A team player, proactive and inquisitive who can control one's ego
Fluent in both spoken and written English
Chinese speakers are preferable
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Compliance Associate
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