Compliance Officer

The role performs the core compliance function for Millennium Hong Kong, which includes implementing and administering all aspects of Millennium Hong Kong’s compliance program. The role also assists on regulatory or legal issues arising in relation to all of Millennium’s trading activities in the Asian region generally, and, from time to time, assists other offices in the Asia region.
Principal Responsibilities
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Perform background checks on candidates
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Organize and assist with onboarding and annual compliance training
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Submit license applications for new PMs via SFC WINGS account
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Submit all required corporate documents to SFC including annual return, BRMQ and ad hoc surveys or notifications
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Assist new PMs with their onboarding ie declaring and approving accounts
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Reviewing and approving/rejecting ongoing personal account dealing requests
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Reviewing and approving (as appropriate) experts, research providers, new brokers etc
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Position Limit reporting to HKEX
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Short position reporting to SFC
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Liaising with colleagues in the New York Compliance Department and other Departments as necessary re position monitoring
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Update compliance policies, procedures and manuals as and when necessary
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Perform due diligence on external fund managers’ compliance policies and procedures
Qualifications/Skills Required
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Law or related degree; minimum 5 years’ experience at buy side institution working on compliance or regulatory issues
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Experience in SFC inquiries and investigations or work experience at SFC a plus
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Knowledge of the SFO
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Detail oriented
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Good team player – one who is able to prioritize in a fast moving, high pressure, constantly changing environment
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Entrepreneurial inclination – ability to work alone and act as a project manager
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Ability to work with various departments in Millennium’s offices worldwide and build smooth working relationships
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Strong analytical and problem-solving skills
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Comfortable with different technology applications particularly Excel
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Broad product and industry knowledge a plus
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Strong writing skills