- Develop & maintains Compliance Manual (Investment Management), monitor compliance & report on exception to local and regional management.
- Monitor & report on Prospectus, local regulations etc.
- Oversee establishment of client account, portfolios, etc. Ensure all documentation is signed and lodged with appropriate persons.
- Daily monitor company investment for the fund under management in regard to the investment limitation as specified by the SEC and the fund’s project.
- Report to the SEC and Trustee of the fund in case that investment is over the investment limitation.
- Communicate and disseminate relevant laws, regulations, rules and notifications to employees.
- Master/ Bachelor degree in legal/business
- At least 5-7 years experiences in Compliance (investment management) from Asset / Fund management company.
- Good understanding of SEC regulations
- Exposure to compliance issues and practice.
- Excellent communication & writing skills.
Department: Mutual Fund Department, Business Development Division
Job Description :
Seeking a Relationship Manager to join with Business Development Division and manage selling agent’s portfolio.
• Focus in the development and maintenance of relationship with selling agents
• Develop sales goals and strategies to achieve business target goals in term of AUM and Fee
• Promote products, services and brands to increase sales.
• Create new ways to reach target selling agents, special events, exclusive product to increase sales.
To succeed in this role, you should have experience in building and maintain a relationship with selling agents experience.
• Minimum 5 years' relevant experience with managing selling agent’s relationship
and portfolio is highly desirable
• Good interpersonal skills with knowledge of fund management product & services
• Initiative in service opportunities and marketing ideas
• Strong business acumen abilities
• Excellent communication skills
high-net-worth (HNW) clients portfolio
Department: Wealth Service & Channel Service Department,
Business Development Division
Responsible for customer service. Provide Mutual funds and supports various requests for customers and sales representatives with quickly accurately and carry out the wishes of the customer.
- To provide information about the fund and other related information to customer and other agents either by phone or direct channels, monitor the complaints, feedback from various customers, provide investment advice as appropriate service and the level of risk acceptable to the customer, and solve problem.
- To liaise with customers to retain AUM and relationship with existing customers in order to increase sales.
- To prepare routine report of Mutual fund data to agent or customer and also ad-hoc report in order to get information as agent or customer’s request.
- Bachelor’s degree or higher of Business Administration or other relate filed
- Investment Consultant License is required
- Have a very good communication skills and service mind
- Experience in Asset Management company or Banking is preferred
- Able to communicate well in English
- Can use computer program such as Excel, Word and PowerPoint.