Contractor, Compliance Specialist

  • Competitive
  • Hong Kong
  • Contract, Full time
  • Schroder Investment Management (Hong Kong) Ltd
  • 19 Mar 19

Schroders is looking to hire a contractor to join our Compliance & Risk department to undertake daily responsibilities in compliance advisory, reporting / disclosure and monitoring specialism in order to meet the regulatory and risk management standards expected by clients and required by regulators. The Compliance team in Hong Kong supports the Hong Kong and China business including QFII, QDII, mutual recognition of funds and WFOE.

Key Responsibilities:

  • Review of marketing materials from a compliance perspective
  • Undertake risk-based compliance monitoring or perform special monitoring reviews as agreed from time to time with specific business areas, including the identification and reporting of potential regulatory issues
  • Undertake market abuse monitoring
  • Oversee and undertake local or international share disclosures, including the provision of information to other offices and Group Compliance
  • Provide advice to staff in relation to the Group Personal Account Dealing Policy and assist staff in making securities declaration / making preclearance request in the system
  • Monitor the implementation of issues highlighted in external audit, internal audit, compliance monitoring and regulatory reports.
  • Provide advisory support and research to business in areas such as licensing and staff dealing
  • Prepare reports for the local regulators and Group Compliance

To be successful in this role, you should possess the following requisites:

  • A degree graduate preferably in Accounting, Economics, Business Administration or Finance.
  • At least 3-4 years of working experience in audit/compliance roles in finance industry
  • Proficient in both verbal and written English and Chinese
  • Knowledge in the SFC regulations, codes and guidelines applicable to the asset management industry.
  • Candidates from audit background looking for a change in career to Compliance are welcome to apply.
  • Open to contract roles and able to commit for 5 months, preferably to start in April/May