Compliance Office, Asset Management (Prestige Foreign IB)
- Employer
- JAC International.
- Location
- Hong Kong
- Salary
- Competitive
- Closing date
- Mar 22, 2019
View more
- Job Function
- Compliance/Regulatory
- Industry Sector
- Finance - General
- Employment Type
- Full Time
- Education
- Bachelors
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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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