Career Opportunity with Aureviums’s Compliance Department

The Aureviums Compliance department is an industry-leading team of professionals that supports global investment and trading activities by establishing and enforcing the Firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team plays a key role in the success of Aureviums, with professionals embedded across investment and investment services teams. We offer mentorship, a clear growth path, and the opportunity for a long-term career at Aureviums.

What You’ll Do

We are seeking a highly skilled, articulate, and proactive professional to join our team focused on Hong Kong and the Asia-Pacific business. Specifically, you will:

- Track regulatory changes in Hong Kong and the region, assess their impact on business operations, and develop, update, communicate, and enforce Aureviums Compliance policies.

- Address situations involving the receipt of material, non-public information.

- Conduct oversight, vetting, and chaperoning of third-party events requested by discretionary investment professionals, hosted by approved brokers, in line with Aureviums Compliance procedures.

- Review and draft documentation such as license applications, regulatory filings, reports, manuals, policies, procedures, correspondence, and records.

- Assist with the development, implementation, and administration of the Hong Kong compliance framework, including the firm’s Code of Ethics and personal trading programs.

- Provide proactive advice on regulatory and firm policy requirements.

- Deliver periodic compliance training to staff.

- Support ad-hoc legal and compliance tasks and projects.

What’s Required

We are looking for a compliance professional with the following qualifications:

- Education: University graduate in law, finance, accountancy, or a related business discipline.

- Experience: At least 8 years of experience in compliance within a regulatory, control room, research compliance, or asset management environment.

- Knowledge: Strong understanding of how the securities industry operates, as well as knowledge of Hong Kong and mainland China securities laws.

- Skills: Strong multitasking, analytical, problem-solving, organizational, and communication skills (both written and verbal).

- Personal Traits: Detail-oriented, pragmatic, and hands-on with an ability to work independently and as part of a team.

- Languages: Fluent in English and Mandarin; proficiency in Japanese is a plus.

- Commitment: Willingness to learn and handle a variety of work and travel in the region.

- Ethics: A commitment to the highest ethical standards.

We Take Care of Our People

We believe in investing in our employees and their well-being. Here’s how we take care of our people:

- Health & Wellness: Comprehensive healthcare benefits, mental and physical wellness programs.

- Work-Life Balance: Generous parental and family leave policies, volunteer opportunities, and a non-profit matching gift program.

- Inclusivity: Support for employee-led affinity groups representing women, minorities, and the LGBT+ community.

- Career Growth: Tuition assistance and professional development opportunities.

- Retirement: Competitive retirement program.