- Provide day-to-day advice to ensure that the Company's activities are in compliance with the latest statutory and regulatory requirement
- Review marketing and communication materials/ presentations to ensure compliance with regulatory requirements and handle regulatory approval timely and efficiently;
- Perform compliance monitoring on AML/CTF and KYC matters including customer/ service providers due diligence, OFAC/sanction check, assessment, etc. to ensure proper compliance with relevant regulatory requirements;
- Handle internal, external, and regulators' inquiries, inspection, and investigation;
- Handle staff personal account dealing and conduct periodic reporting;
- Conduct training and prepare educational materials for colleagues to ensure they are up to date with market knowledge and requirements
- Perform pre - and post-trade investment monitoring including coding, testing, reviewing compliance exceptions, and
- Handle pre-trade compliance alert from Bloomberg and produce post trade compliance report;
- Assist in handling SFC annual declarations as well as other notifications to the SFC;
- Assist asset management department and other business units in understanding and addressing all applicable laws and regulations;
- Prepare regular and ad-hoc compliance reports to Management and Head Office;