Analyst/Associate Director - Compliance

Baring Asset Management (Asia) Limited - HKD (Hong Kong, Hong Kong) 24 days ago

At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.

We thank you for your interest in joining the Barings team, and invite you to explore our current employment opportunities.

Job Summary

The incumbent will be responsible for managing anti-money laundering and trade surveillance programs of Hong Kong office. He/she will also be responsible for the marketing material and sales process review, handling of licensing related matters and internal/external compliance reporting.  He/she will assist the in providing guidance, advice and training to staff in Hong Kong and other regional offices, when necessary.  He/she will assist in overseeing compliance matters of Australia office.

Primary Responsibilities

  • Acquiring a satisfactory level of knowledge and understanding of the regulations applicable to the business.  Constantly keeping him/herself, as well as compliance team and the relevant business functions abreast and informed of any regulatory developments and changes.
  • Keeping under review changes to operations or business practices to ensure that controls in place are adequate and relevant, or where appropriate enhancing such controls.
  • Handling enquiries regarding applicable regulatory requirements and the controls and procedures which should or required to be in place.
  • Assisting in providing timely advice and guidance to staff in Hong Kong and other regional offices, when necessary.
  • Managing the trade surveillance program and performing trade surveillance and other monthly monitoring work.
  • Managing the anti-money laundering (AML) program and performing AML review for account opening and on a periodic basis.
  • Performing sales process review according to the review program.
  • Assisting in overseeing compliance matters of Australia office, including AML, sales and licensing matters.
  • Investigating issues arising from such work and resolving them independently in co-operation with compliance team and other relevant staff to ensure that they are dealt with promptly.
  • Assisting in identifying methods to improve the efficiency of the monitoring performed or areas where the compliance program can be enhanced and kept in line with the business requirements.
  • Assisting in preparing internal/external compliance reports as assigned, including the annual anti-money laundering report.
  • Assisting in preparing or updating compliance policies and rolling out of compliance policies.
  • Reviewing marketing materials to ensure that they are in compliance with SFC regulations and company policies.
  • Handling compliance matters such as PA dealing, Gifts and Hospitality.
  • Preparing and delivering to staff of training and induction programs.
  • Handling licensing matters relating to the company and staff.
  • Assisting in handling regulatory issues with the regulators in Hong Kong and Korea, where required.
  • Assisting in preparing/reviewing legal documents as assigned.
  • Liaising with other business functions in relation to the compliance matters, including the provision and obtaining of technical support and guidance on any matter.
  • Assisting in undertaking reviews of the business and any other ad hoc projects in any jurisdiction, where required.
  • Fulfilling additional, relevant, tasks appropriate to the role and business requirements


  • University degree
  • 7 to 9 years of experience working in asset management industry in Hong Kong, with practical experience on Australian market
  • Proven ability to work in a multinational company
  • Keen attention to detail
  • Willing to engage with employees at all levels of the organization and to lead and support projects across varying level of complexity
  • A positive, collegial attitude and a high level of professionalism
  • Ability to work effectively in a team environment and on individual projects
  • Excellent written and verbal communication skills, Cantonese, Mandarin and English preferred
  • Excellent time-management, project management and organization skills to prioritize effectively and manage information flow in order to meet deadlines
  • Proactive and self-motivated, eager to learn, and interested in taking on new challenges to enhance coverage and build relationships

Barings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.

Analyst/Associate Director - Compliance

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