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Compliance Office, Asset Management (Prestige Foreign IB)

Employer
JAC International.
Location
Hong Kong
Salary
Competitive
Closing date
Mar 22, 2019

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Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors

Responsibilities:

  • Maintain up to date knowledge and understanding of the applicable regulatory environment
  • Monitor procedures, systems and controls to ensure compliance with GAM ASIA's and regulatory policies and guidelines, and risks are minimized
  • Evaluate the impact of regulatory developments that could impact GAM ASIA, and where appropriate, support the development of new control mechanisms
  • In charge of issue-oriented and comprehensive compliance reviews and reporting, orally and in writing, to other compliance staff and senior business leadership on reliable assessment and practical business recommendations
  • Monitor that all necessary actions are taken to meet regulatory and operational compliance requirements. Ensure that all escalations and sign-offs are in place. Review and provide input and coordinate the process
  • Review progress to plans, and develop, communicate, delegate and actively participate in the implementation of actions necessary to correct internal and external issues
  • Support the Head of Global AML, GAM and the MLRO to ensure the AML Program achieves AML compliance outcomes

 

Requirements:

  • Undergraduate degree / qualification (MBA, CA or CFA) preferred
  • Minimum 3-5 years of experience in the Compliance / Controls / Audit areas of expertise in the Financial Industry
  • Thorough knowledge and expertise of investments, financial services industry and applicable laws, regulations and practices; risks associated with the line of business and progressive methods used to manage risks; corporate governance, regulatory compliance and disclosure of reporting issues
  • Strong analytical and problem-solving skills and an ability to assimilate a large amount of information for purposes of identifying value-added observations
  • Well-developed oral and written communications skills; ability to communicate effectively with senior management and peers

 

Interested candidates, please kindly send your detailed resume including:

1) Current and expected salary

2) Availability

3) Reason for leaving current and past employments

directly to: justin.wan@jac-recruitment.com and jac.hk@jac-recruitment.com

 

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.

 

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