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Financial Services Regulatory Expert
2 weeks ago
Job Description:
- Key Responsibilities:
- Monitoring and testing of regulatory and corporate compliance obligations
- Supporting execution of trade and communication surveillance program
- Providing technical research and consultation to support compliance programs and initiatives
- Assisting in development and maintenance of compliance frameworks and related policies and procedures
- Providing ad-hoc project support as required
- Supporting senior members of the department in identification, planning, and execution of department's activities
About You:
- Proven experience in advising and/or monitoring of asset management business
- Strong background in understanding of investment management products and services, including securities, cash, and derivatives market instruments
- Working knowledge of SFC regulations, with international exposure beneficial
- Prior experience in interpretation and analysis of industry standards
- Analytical ability to identify and understand problems and provide effective solutions
- Highly motivated individual with proven record of using initiative to resolve problems
- Ability to make decisions and be a team player and effective communicator
- Excellent verbal and written communication skills
- Desire to stay up-to-date with new business and regulatory developments
- Excellent organizational and analytical skills
- Knowledge of Excel macros