EMPLOYEE TRADING / ETHICS – MANAGER / ASST MANAGER recruitment
Our client is a global investment management company with an unparalleled reputation across the Asia Pacific region. It provides companies, institutional investors and high-net-worth clients with asset management services worldwide. With the continued growth of the organization, the need has arisen to recruit a high caliber professional to join them.
Responsible for developing and implementing the code of ethics in the region. Develop a sound understanding of the global legal and regulatory requirements supporting the policy and ensure that the policies themselves are continuously reviewed and developed, taking into account relevant regulatory changes. Develop and implement specific Code of Ethics procedures to ensure operational effectiveness and produce metrics and reports for management. Develop and implement a Code of Ethics compliance monitoring framework to ensure compliance with internal policies and regulations and formulate appropriate action plans to address anomalies and strengthen compliance controls. Develop and implement a Code of Ethics training program for Asia Pacific. Management of operational aspects of the department i.e. accuracy of employee data, processing of employee requests incl. preclearance, trade and gifts/entertainment monitoring, reporting, collection of annual and quarterly employee returns and follow up of Code violations. Ensure agreed departmental goals and service standards are consistently delivered in line with existing policies and procedures.
To be qualified, you must be a university graduate with 2 to 5 years’ relevant working experience in financial industry. Strong analytical skills, problem-solving ability and attention to detail. Investigative and questioning nature. Ability to lead projects with minimal supervision. Team player. Excellent inter-personal skills. Ability to work in a fast-paced environment. Good PC skills (word, excel, powerpoint). Excellent command of English and Chinese.
Interested applicants should send a detailed resume to Kelly Kam by email to kkam@ric.com.hk or by fax to (852) 2838 3323 quoting reference eFC1881.
(Applicants not contacted within 4 weeks should consider their application unsuccessful.)