Director, Compliance, Asia Investment Management
2 weeks ago
Vous êtes unique, comme le sont votre parcours, votre expérience et votre façon de voir les choses. Ici, on vous encourage et on vous motive à donner le meilleur de vous-même, et on vous donne les moyens de le faire. Vous travaillerez avec des collègues dynamiques – experts dans leur domaine – qui sont impatients de partager leurs connaissances avec vous. Vous aurez des gestionnaires inspirants qui vous aideront à développer votre potentiel et à atteindre de nouveaux sommets. Chaque jour, vous aurez de nouvelles occasions de rendre la vie de nos Clients plus radieuse – ils sont au cœur de tout ce que nous faisons. Découvrez comment vous pouvez faire une différence dans la vie des gens, des familles, des collectivités – ici et partout dans le monde.
Description de poste :
Job Responsibilities
Support the Investment Manager Compliance Program functions and compliance programs would include the following:1. Compliance Program management;
2. Compliance Manuals, Policies & Procedures;
3. Monitoring & Testing;
4. AML;
5. Training;
6. Regulatory Filings;
7. Errors & Exceptions;
8. Valuations & Allocations;
9. Vendor Management;
10. Compliance Systems & Technology, and
11. Reporting
Establish a fit-for-purpose asset management Regulatory Compliance Management (RCM) program within Asia Investment Management. Support the Regulatory Compliance strategy by identifying, informing and advising Senior Management of any developing issues and trends that may impact or be relevant to the Group's management as appropriate of Regulatory Compliance risk Develop regulatory change program; drive co-ordination and execution of the various Regulatory Compliance change work streams and embed Operating Model changes while ensuring alignment with Global Standards Establish standards and implement procedures to ensure that the Investment Advisor compliance program is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations. Design and implement compliance reporting for executive management, Enterprise Compliance and regulator(s), as needed Manage and communicate compliance issues and trends, compliance reports to executive management and regulator(s). Manage and coordinate efforts related to regulatory reviews, exams, inquires, and audits. Identify areas of potential compliance risk and vulnerability; manage and drive effective resolution, reporting updates to management. Act as technical advisor and support business initiatives from a compliance perspective. Manage and support investment advisor compliance process operationsJob Requirements
Degree in Business, Finance, Economics, or related field CFA (or similar) designation, ACAMS, Industry Exams & Courses (e.g. FINRA, CSI) are a plus 8+ years relevant experience in asset management compliance Understanding of the SFO (Securities and Future Ordinance) and other relevant Codes of Conduct and regulations of Type 1, 4, 9 Seasoned Compliance professional within asset management industry. Experience working with, reporting to and communicating with regulators as well as ability to review and interpret regulatory requirements. Expertise in RCM compliance programs and systems. Effectively identify, communicate and escalate compliance matters to senior leaders in both Line 1 and Line 2 and be proactive in developing solutions. Dynamic and fast-paced problem-solving skills, that leverage all available knowledge required for real-time solutions to business problems that carry actionable regulatory risk. Ability to navigate in a complex and matrix organization. Excellent verbal and written communication skills, with strong presentation skills Ability to work effectively with persons at all levels of the organization, including senior executives. Use diplomacy and tact to navigate throughout a complex, international organization across Sun Life enterprise, Asia, SLF Business Groups and Local investment teams.Catégorie d'emploi :
Employé temporaireFin de l'affichage :
27/06/2024-
Hong Kong, Hong Kong SAR China Sun Life Full timeJob Description : Job Responsibilities Support the Investment Manager Compliance Program functions and compliance programs would include the following: 1. Compliance Program management; 2. Compliance Manuals, Policies & Procedures; 3. Monitoring & Testing; 4. AML; 5. Training; 6. Regulatory Filings; 7. Errors & Exceptions; 8. Valuations &...
-
Associate Director of Finance, Asia
4 weeks ago
Hong Kong, Hong Kong SAR China Kirkland & Ellis LLP Full timeDescription About Kirkland & Ellis At Kirkland & Ellis, we are united in our ambition and drive to move forward. We share core values that help us achieve excellence: collaboration, talent empowerment, service, inclusion, respect and gratitude. Our people are our greatest asset, and we invest in the brightest talent and encourage a diversity of...
-
Hong Kong, Hong Kong SAR China Company 418 Manulife General Account Investments (Singapore) Pte. Ltd. (SAGA) Full timeDescription – Director/Associate Director , Asia Asset Liability Management The Global Asset Liability Management group plays a leadership role in the identification and assessment of ALM related risks globally, along with the development of investment and risk management strategies to support the company’s business and financial objectives. As...
-
Hong Kong, Hong Kong SAR China Company 331 - Manulife Financial Asia Limited Full timeDescription The Opportunity The customer is the focus of everything we do, and millions of end users rely on our products and services daily. We believe in the value of empowering our with the resources to enhance and achieve our business performance objectives for the future of our business, which is why we need you. The position assists the...
-
Manager, Investment Management
4 weeks ago
Hong Kong, Hong Kong SAR China Prudential plc Full timePrudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support...
-
Investment Director, Chinese SME
1 month ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeSeeking a seasoned investment professional to join a Chinese small- middle size firm to support the business growth and business owner's personal investment. As the Investment Director, you will be the individual contributor and responsible for evaluating and managing international investment projects, overseeing property investments, and handling various...
-
Investment Director, Chinese SME
1 month ago
Hong Kong, Hong Kong SAR China Randstad Hong Kong Full timeSeeking a seasoned investment professional to join a Chinese small- middle size firm to support the business growth and business ownerâs personal investment. As the Investment Director, you will be the individual contributor and responsible for evaluating and managing international investment projects, overseeing property investments, and handling...
-
Investment Director, Chinese SME
2 weeks ago
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeSeeking a seasoned investment professional to join a Chinese small- middle size firm to support the business growth and business owner's personal investment. As the Investment Director, you will be the individual contributor and responsible for evaluating and managing international investment projects, overseeing property investments, and handling various...
-
Investment Director, Chinese SME
2 weeks ago
Hong Kong, Hong Kong SAR China Randstad Hong Kong Full timeSeeking a seasoned investment professional to join a Chinese small- middle size firm to support the business growth and business ownerâs personal investment. As the Investment Director, you will be the individual contributor and responsible for evaluating and managing international investment projects, overseeing property investments, and handling...
-
Venture Capital Investment Director
4 weeks ago
Hong Kong, Hong Kong SAR China Sirius Partners Full timeVenture Capital Investment DirectorRole Overview: The Venture Capital Investment Director is a strategic leader responsible for driving investment decisions, managing portfolios, and fostering relationships within the technology sector. This role demands expertise in evaluating high-quality opportunities, structuring deals, and collaborating with...
-
Director of Business Development
4 weeks ago
Hong Kong, Hong Kong SAR China The Tie Full timeThe Tie is the leading provider of information services for digital assets. Our core offering, The Tie Terminal, is the fastest and most comprehensive platform for institutional digital asset market participants. With its unmatched breadth and depth of data coverage, combined with a suite of powerful, customizable tools, The Terminal provides an all-in-one...
-
Venture Capital Investment Director
4 weeks ago
Hong Kong, Hong Kong SAR China Sirius Partners Full timeJob DescriptionVenture Capital Investment DirectorRole Overview: The Venture Capital Investment Director is a strategic leader responsible for driving investment decisions, managing portfolios, and fostering relationships within the technology sector. This role demands expertise in evaluating high-quality opportunities, structuring deals, and collaborating...
-
Asia Equities Product Controller
4 weeks ago
Hong Kong, Hong Kong SAR China JPMorgan Chase & Co. Full timeWe are seeking an Executive Director to head the Asia Equities Product Control team in Hong Kong and Mumbai. The role involves oversight over a large team with direct responsibility for the Asia Equity Cash and Equity Derivative Group product controllers. The successful candidate will have extensive Product Control knowledge and will report to the Global...
-
Manager, Investment Planning, Dispersions
3 weeks ago
Hong Kong, Hong Kong SAR China BASF East Asia Regional Headquarters Ltd. Full timeAt BASF, we create chemistry for a sustainable future. We combine economic success with environmental protection and social responsibility. Our portfolio is organized into six segments: Chemicals, Materials, Industrial Solutions, Surface Technologies, Nutrition & Care and Agricultural Solutions. BASF’s Asia Pacific regional headquarters is located in...
-
Associate, Middle Office
3 weeks ago
Hong Kong, Hong Kong SAR China Balyasny Asset Management L.P. Full timeOVERVIEW Balyasny Asset Management is seeking an Associate, Middle Office – Asia Listed & Quant team members to join the Operations team in our Hong Kong / Singapore office.The employee will assist traders and portfolio managers with a wide variety of trade related and portfolio PnL questions. In addition to working closely with various departments...
-
Solutions Associate
3 weeks ago
Hong Kong, Hong Kong SAR China 471 FIL Investment Management (Singapore) Limited Full timeAbout the Opportunity Job Type: PermanentApplication Deadline: 31 May 2024 Title: Solutions Associate Department: Client Propositions Reports to: Head of Client Solutions We’re proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each...
-
Senior Manager, Compliance
3 weeks ago
Hong Kong, Hong Kong SAR China Prudential plc Full timePrudential’s purpose is to be partners for every life and protectors for every future. Our purpose encourages everything we do by creating a culture in which diversity is celebrated and inclusion assured, for our people, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and we support...
-
Hong Kong, Central and Western District, Hong Kong SAR China Randstad Hong Kong Full timeabout the company.Our client is an reputable retail bank with strong presences in APAC region. about the job. Review new product proposals/product document, marketing materials, and identify compliance issues/concerns Provide advice to different departments on compliance and related matters and ensure regulatory requirements were met Assist in conducting...
-
Hong Kong, Hong Kong SAR China King Deux Search & Consulting Full timeKing Deux Search & Consulting is a specialized executive search firm which offers bespoke talent solutions across financial services and commerce. We are committed to not only finding the right opportunity for our candidates but also leaving a legacy that lives on beyond the hiring process.Follow us for updates on the exceptional clients we represent. Stay...
-
Analyst, Relationship Management,
3 weeks ago
Hong Kong, Hong Kong SAR China Ares Management Corporation Full timeDescription Summary: This position is part of the Strategy and Relationship Management team responsible for increasing the firm’s assets under management through the development of new relationships and expanding existing relationships. He/she will be involved in supporting the Hong Kong-based Asia Relationship team. Geographic Focus: Greater...
