Compliance Manager, Asset Management
Role Context:
This is a key role within AMG in supporting the global business meet its strict fiduciary responsibilities across multiple jurisdictions and the very high internal, and regulatory, expectations arising therefrom. The Compliance Manager works closely with the Global Head of Compliance (GCO), ensuring optimal advice is provided for a broad-range of asset management services within AMG.
Key Responsibilities:
- Ensure an appropriate framework of compliance standards is implemented across the AMG global business, in conjunction with the GCO.
- Liaise with AMG Compliance Officer’s in respect of the implementation of appropriate Compliance Risk Assessment and Compliance planning processes to ensure the effective management of Compliance risk.
- Represent AMG Compliance on internal Committees and Project Working Groups as applicable.
- Analysis and production of the relevant compliance-related MI on regular and ad-hoc basis including MI on key indicators, anti-bribery and AML, etc. produced at the global business level for reporting to group compliance function;
- Timely and effective implementation of global policies and procedures to reflect regulatory changes and best practice as required from time to time.
- Contribute in a timely manner in respect of the Compliance Risk Assessment and review to ensure appropriate implementation within the business.
- Timely, accurate and coherent delivery of MI reporting as and when required by the business and group compliance
Knowledge Experience:
- Ideally a broad level of understanding, and experience, of asset management business and investment products.
- Knowledge of HSBC Group Compliance policies, procedures and requirements would be a clear advantage
- Excellent communication and influencing skills (strong written and oral communication skills), and the ability to communicate effectively with colleagues in a wide range of international centres
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