Director, Ethics Education and Professional Standards (APAC)

Location
Hong Kong (HK)
Salary
Competitive base salary plus incentive plan
Posted
Jul 13, 2018
Closes
Sep 11, 2018
Ref
R-514
Certifications
CFA Charterholder
Employment Type
Full Time

The Director, Ethics Education and Professional Standards (EEPS), will develop and promote ethical codes, standards, policies, and positions in the APAC region. The Director will be proficient and thoroughly understand ethical issues affecting the investment industry and the principles and requirements of the CFA Institute Code of Ethics and Standards of Professional Conduct (Code and Standards) and the Asset Manager Code of Professional Conduct (AMC). The Director will develop relationships with internal and external stakeholders in the region aimed at increasing adoption of CFA Institute Standards. The Director will represent CFA Institute at industry events, conduct ethics education seminars and webinars, and develop thought leadership projects on ethics that reflect the APAC market to advance CFA Institute ethics, standards, policies, and positions.
The position will be headquartered in Hong Kong and will be supported by the Co-Head, Ethics, Standards and Professional Conduct.

ESSENTIAL FUNCTIONS  

  • Lead efforts in the APAC region to develop and promote CFA Institute ethics, standards, policies, and positions through proficiency and thoroughly understanding ethical issues affecting the investment management industry and the principles and requirements of CFA Institute Codes and Standards.
  • Work with internal and external stakeholders to have our ethics educational products accredited for continuing educational (CE) purposes. This is accomplished through understanding the workings of regulatory and accreditation bodies in the region, working through societies to package our products to serve the needs of their markets and increasing the number of members meeting their annual SER CE requirement
  • Serve as APAC region spokesperson on CFA Institute ethics, standards, policies, and positions. This is accomplished by representing CFA Institute at industry events, seminars, and workshops on our Codes and Standards; conducting training sessions for external stakeholders as required and publishing and presenting materials in a variety of outlets with the goal to promote EEPS related materials
  • Coordinate and lead industry ethics education using presentations, conference sponsorships, webcasts, and other events
  • Develop ethics case studies geared specifically for the APAC audience that reflect local market practices and issues that are suitable for use in the workshops and webinars
  • Inform the EEPS Department of ethical issues relevant and of interest to the APAC markets
  • Assist in updating and maintaining CFA Institute ethics, standards, policies, and positions to keep them current and relevant to meet the needs of the members and investment management professionals in the region
  • Develop APAC specific ethics related projects
  • Initiate research ideas that address ethical issues facing the investment management profession in APAC
  • Become proficient in responding to ethics helpdesk questions from the APAC region  
  • Grow AMC adoption by asset managers based in APAC through supporting the Relationship Management and Society Relations team
  • Sponsor appropriate events and secure presentations in APAC designed to promote awareness of the EEPS products and services
  • Support meetings/discussions with asset owners and targeted asset managers regarding adoption of CFA Institute Standards and specifically the AMC.
  • Encourage and support local society involvement in the promotion of EEPS products and services in APAC
  • Explain, clarify, and answer questions on the principles and applications of the AMC to various industry participants and regulators in the APAC region
  • Identify and respond to opportunities to submit consultation papers relating to the organizations’ ethics positions, codes and standards by writing comment letters based on CFA positions and conduct research where required to establish positions; seeking opportunities to discuss comment letter with regulators & supporting the Societies efforts to develop local code and standards based off the CFA Institute Code and Standards

QUALIFICATIONS

  • Master’s degree in Philosophy or Business
  • CFA charter strongly preferred
  • Minimum of ten years of experience in one or more of the following areas; asset management, securities research, compliance, regulations, sales and marketing of financial products, investment consulting, and private banking
  • Significant experience in the investment management industry in a multinational environment preferred
  • Fluency in English required, strong working knowledge of Cantonese and or Mandarin preferred
  • Demonstrated track record of building strong, collaborative relationships and influencing stakeholders across a diverse range of functions and geographies
  • Knowledge and experience of financial markets and issues, within the APAC region required
  • Knowledge of CFA Institute Professional Standards (GIPS, AMC) a plus.
  • Ability and willingness to become proficient in CFA Institute Code of Ethics and Standards of Professional Conduct and to help others in understanding and applying these
  • Highly-motivated self-starter comfortable leading and managing in the listed areas of responsibility. Ability to facilitate senior level meetings
  • Global cultural orientation and working experience
  • Organized, self-motivated, and capable of working in a rapidly changing environment with the ability to effectively interact with all levels of management.
  • Excellent interpersonal skills including a professional and diplomatic demeanor
  • Excellent communication skills including written, verbal, listening, and presentation; comfortable and confident with public speaking and presenting to large audiences
  • Ability to work independently with excellent entrepreneurial skills