The Role
Responsible for plan, execute and oversee compliance function to ensure compliance with local regulatory requirements, corporate policies and fund/separate account investment portfolio compliance, include real time trade desk monitoring. Perform marketing material review, RFP and liaise closely with local regulators and external vendors with close connectivity with the Regional Office in Hong Kong, yet with ability to handle and act independently. This role will also cover some regional work.
Job Duties
Performs daily reviews of security positions held by mutual funds and separately managed accounts to ensure compliance with all regulatory requirements, operating policies, and fund/client imposed investment limitations.
Manage and maintain relationship with local regulator, internal and external auditor, and various business units in decentralized locations
Real time trade desk monitoring, take lead on ensuring portfolio compliance by working closely with internal and external parties
Plan, maintain and execute the risk-based compliance monitoring program, including regular compliance review and board paper preparation
Prepare and coordinate the filing of all routine internal and external report under minimum supervision, both MAS and any other regulators in the region, as and when required.
Prepares and distributes periodic client compliance reports, representations, and checklists as required.
Marketing materials review in the region, including bilingual RFP
New client take on process, include but not limited to IMA review, AML check and post funding monitoring
Perform GAP analysis and communicates potential compliance issues to Regional Compliance Officer, in Hong Kong, with solution
Routine update and maintenance of policy and procedures, including new guidelines and regulations roll out in the region
Conduct various ethics and corporate training to staff
Provide on-going solid and timely compliance advice to the business units by building compliance into business process
Ad-hoc projects
Requirements
At least 5 years Compliance experience in an established financial institution, in the banking/funds/asset management industry
Excellent verbal and written communication skills in English and Mandarin.
Strong interpersonal and communication skills and be a team player
Effective analytical skills, including the ability to accumulate, organize, and assimilate large amounts of information within a short period of time
High accuracy and attention to detail & fast learner in a dynamic environment
Ability to learn quickly and work independently with minimum supervision
Ability to manage multiple tasks simultaneously with priority and good time management
Intermediate to advanced computer skills, including Microsoft Word, Power Point and Excel
Proficiency in pick up new software, Charles River and MAS related applications/software
Interested candidates please quote ref. no. L-COM-128 and send your detailed resume to miles@recruit-legal.com
